Level 2 Assessment Guide: Difference between revisions

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|-
|-
|'''ASSESSMENT OBJECTIVES'''
|'''ASSESSMENT OBJECTIVES'''
Determine if:  
: [a] managed access control points are identified and implemented; and  
[a] managed access control points are identified and implemented; and  
: [b] remote access is routed through managed network access control points.
[b] remote access is routed through managed network access control points.
|-
|-
|[[Practice_AC.L2-3.1.14_Details|More Practice Details...]]
|[[Practice_AC.L2-3.1.14_Details|More Practice Details...]]
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== Awareness and Training (AT) ==
== Awareness and Training (AT) ==
=== Level 2 AT Practices ===
=== Level 2 AT Practices ===
==== AT.L2-3.2.1 – ROLE-BASED RISK AWARENESS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Ensure that managers, systems administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] security risks associated with organizational activities involving CUI are identified;
: [b] policies, standards, and procedures related to the security of the system are identified;[c] managers, systems administrators, and users of the system are made aware of the security risks associated with their activities; and
: [d] managers, systems administrators, and users of the system are made aware of the applicable policies, standards, and procedures related to the security of the system.
|-
|[[Practice_AT.L2-3.2.1_Details|More Practice Details...]]
|}
==== AT.L2-3.2.2 – ROLE-BASED TRAINING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities.|-
|'''ASSESSMENT OBJECTIVES'''
: [a] information security-related duties, roles, and responsibilities are defined;
: [b] information security-related duties, roles, and responsibilities are assigned to
designated personnel; and
: [c] personnel are adequately trained to carry out their assigned information security-related duties, roles, and responsibilities.
|-
|[[Practice_AT.L2-3.2.2_Details|More Practice Details...]]
|}
==== AT.L2-3.2.3 – INSIDER THREAT AWARENESS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Provide security awareness training on recognizing and reporting potential indicators of insider threat.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] potential indicators associated with insider threats are identified; and
: [b] security awareness training on recognizing and reporting potential indicators of insider threat is provided to managers and employees.
|-
|[[Practice_AT.L2-3.2.3_Details|More Practice Details...]]
|}


== Audit and Accountability (AU) ==
== Audit and Accountability (AU) ==
=== Level 2 AU Practices ===
=== Level 2 AU Practices ===
==== AU.L2-3.3.1 – SYSTEM AUDITING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] audit logs needed (i.e., event types to be logged) to enable the monitoring, analysis,
investigation, and reporting of unlawful or unauthorized system activity are specified;[b] the content of audit records needed to support monitoring, analysis, investigation, and
reporting of unlawful or unauthorized system activity is defined;
: [c] audit records are created (generated);
: [d] audit records, once created, contain the defined content;
: [e] retention requirements for audit records are defined; and
: [f] audit records are retained as defined.
|-
|[[Practice_AU.L2-3.3.1_Details|More Practice Details...]]
|}
==== AU.L2-3.3.2 – USER ACCOUNTABILITY ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Ensure that the actions of individual system users can be uniquely traced to those users so they can be held accountable for their actions.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the content of the audit records needed to support the ability to uniquely trace users to
their actions is defined; and
: [b] audit records, once created, contain the defined content.
|-
|[[Practice_AU.L2-3.3.2_Details|More Practice Details...]]
|}
==== AU.L2-3.3.3 – EVENT REVIEW ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Review and update logged events.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] a process for determining when to review logged events is defined;
: [b] event types being logged are reviewed in accordance with the defined review process;
and
: [c] event types being logged are updated based on the review.
|-
|[[Practice_AU.L2-3.3.3_Details|More Practice Details...]]
|}
==== AU.L2-3.3.4 – AUDIT FAILURE ALERTING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Alert in the event of an audit logging process failure.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] personnel or roles to be alerted in the event of an audit logging process failure are
identified;
: [b] types of audit logging process failures for which alert will be generated are defined; and
: [c] identified personnel or roles are alerted in the event of an audit logging process failure.
|-
|[[Practice_AU.L2-3.3.4_Details|More Practice Details...]]
|}
==== AU.L2-3.3.5 – AUDIT CORRELATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] audit record review, analysis, and reporting processes for investigation and response to
indications of unlawful, unauthorized, suspicious, or unusual activity are defined; and
: [b] defined audit record review, analysis, and reporting processes are correlated.
|-
|[[Practice_AU.L2-3.3.5_Details|More Practice Details...]]
|}
==== AU.L2-3.3.6 – REDUCTION & REPORTING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Provide audit record reduction and report generation to support on-demand analysis and reporting.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] an audit record reduction capability that supports on-demand analysis is provided; and [b] a report generation capability that supports on-demand reporting is provided.
|-
|[[Practice_AU.L2-3.3.6_Details|More Practice Details...]]
|}
==== AU.L2-3.3.7 – AUTHORITATIVE TIME SOURCE ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] internal system clocks are used to generate time stamps for audit records;
: [b] an authoritative source with which to compare and synchronize internal system clocks
is specified; and
: [c] internal system clocks used to generate time stamps for audit records are compared to
and synchronized with the specified authoritative time source.
|-
|[[Practice_AU.L2-3.3.7_Details|More Practice Details...]]
|}
==== AU.L2-3.3.8 – AUDIT PROTECTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Protect audit information and audit logging tools from unauthorized access, modification, and deletion.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] audit information is protected from unauthorized access;
: [b] audit information is protected from unauthorized modification;
: [c] audit information is protected from unauthorized deletion;
: [d] audit logging tools are protected from unauthorized access;
: [e] audit logging tools are protected from unauthorized modification; and
: [f] audit logging tools are protected from unauthorized deletion.
|-
|[[Practice_AU.L2-3.3.8_Details|More Practice Details...]]
|}
==== AU.L2-3.3.9 – AUDIT MANAGEMENT ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Limit management of audit logging functionality to a subset of privileged users.ASSESSMENT OBJECTIVES'''
: [a] a subset of privileged users granted access to manage audit logging functionality is
defined; and
: [b] management of audit logging functionality is limited to the defined subset of privileged
users.
|-
|[[Practice_AU.L2-3.3.9_Details|More Practice Details...]]
|}


== Configuration Management (CM) ==
== Configuration Management (CM) ==
=== Level 2 CM Practices ===
=== Level 2 CM Practices ===
==== CM.L2-3.4.1 – SYSTEM BASELINING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] a baseline configuration is established;
: [b] the baseline configuration includes hardware, software, firmware, and documentation;[c] the baseline configuration is maintained (reviewed and updated) throughout the
system development life cycle;
: [d] a system inventory is established;
: [e] the system inventory includes hardware, software, firmware, and documentation; and [f] the inventory is maintained (reviewed and updated) throughout the system
development life cycle.
|-
|[[Practice_CM.L2-3.4.1_Details|More Practice Details...]]
|}
==== CM.L2-3.4.2 – SECURITY CONFIGURATION ENFORCEMENT ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Establish and enforce security configuration settings for information technology products employed in organizational systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] security configuration settings for information technology products employed in the
system are established and included in the baseline configuration; and
: [b] security configuration settings for information technology products employed in the
system are enforced.
|-
|[[Practice_CM.L2-3.4.2_Details|More Practice Details...]]
|}
==== CM.L2-3.4.3 – SYSTEM CHANGE MANAGEMENT ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Track, review, approve or disapprove, and log changes to organizational systems.ASSESSMENT OBJECTIVES'''
: [a] changes to the system are tracked;
: [b] changes to the system are reviewed;
: [c] changes to the system are approved or disapproved; and
: [d] changes to the system are logged.
|-
|[[Practice_CM.L2-3.4.3_Details|More Practice Details...]]
|}
==== CM.L2-3.4.4 – SECURITY IMPACT ANALYSIS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Analyze the security impact of changes prior to implementation.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the security impact of changes to the system is analyzed prior to implementation.
|-
|[[Practice_CM.L2-3.4.4_Details|More Practice Details...]]
|}
==== CM.L2-3.4.5 – ACCESS RESTRICTIONS FOR CHANGE ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] physical access restrictions associated with changes to the system are defined;
: [b] physical access restrictions associated with changes to the system are documented;
: [c] physical access restrictions associated with changes to the system are approved;
: [d] physical access restrictions associated with changes to the system are enforced;
: [e] logical access restrictions associated with changes to the system are defined;
: [f] logical access restrictions associated with changes to the system are documented;
: [g] logical access restrictions associated with changes to the system are approved; and
: [h] logical access restrictions associated with changes to the system are enforced.
|-
|[[Practice_CM.L2-3.4.5_Details|More Practice Details...]]
|}
==== CM.L2-3.4.6 – LEAST FUNCTIONALITY ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] essential system capabilities are defined based on the principle of least functionality;
and
: [b] the system is configured to provide only the defined essential capabilities.
|-
|[[Practice_CM.L2-3.4.6_Details|More Practice Details...]]
|}
==== CM.L2-3.4.7 – NONESSENTIAL FUNCTIONALITY ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] essential programs are defined;
: [b] the use of nonessential programs is defined;
: [c] the use of nonessential programs is restricted, disabled, or prevented as defined;
: [d] essential functions are defined;
: [e] the use of nonessential functions is defined;
: [f] the use of nonessential functions is restricted, disabled, or prevented as defined;
: [g] essential ports are defined;
: [h] the use of nonessential ports is defined;
: [i] the use of nonessential ports is restricted, disabled, or prevented as defined;
: [j] essential protocols are defined;
: [k] the use of nonessential protocols is defined;
: [l] the use of nonessential protocols is restricted, disabled, or prevented as defined;
: [m] essential services are defined;
: [n] the use of nonessential services is defined; and
: [o] the use of nonessential services is restricted, disabled, or prevented as defined.
|-
|[[Practice_CM.L2-3.4.7_Details|More Practice Details...]]
|}
==== CM.L2-3.4.8 – APPLICATION EXECUTION POLICY ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] a policy specifying whether whitelisting or blacklisting is to be implemented is
specified;
: [b] the software allowed to execute under whitelisting or denied use under blacklisting is
specified; and
: [c] whitelisting to allow the execution of authorized software or blacklisting to prevent the
use of unauthorized software is implemented as specified.
|-
|[[Practice_CM.L2-3.4.8_Details|More Practice Details...]]
|}
==== CM.L2-3.4.9 – USER-INSTALLED SOFTWARE ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Control and monitor user-installed software.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] a policy for controlling the installation of software by users is established;
: [b] installation of software by users is controlled based on the established policy; and
: [c] installation of software by users is monitored.
|-
|[[Practice_CM.L2-3.4.9_Details|More Practice Details...]]
|}


== Identification and Authentication (IA) ==
== Identification and Authentication (IA) ==
=== Level 1 IA Practices ===
=== Level 1 IA Practices ===
==== IA.L1-3.5.1 – IDENTIFICATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Identify information system users, processes acting on behalf of users, or devices.ASSESSMENT OBJECTIVES'''
: [a] system users are identified;
: [b] processes acting on behalf of users are identified; and
: [c] devices accessing the system are identified.
|-
|[[Practice_IA.L1-3.5.1_Details|More Practice Details...]]
|}
==== IA.L1-3.5.2 – AUTHENTICATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to organizational information systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the identity of each user is authenticated or verified as a prerequisite to system access;[b] the identity of each process acting on behalf of a user is authenticated or verified as a
prerequisite to system access; and
: [c] the identity of each device accessing or connecting to the system is authenticated or
verified as a prerequisite to system access.
|-
|[[Practice_IA.L1-3.5.2_Details|More Practice Details...]]
|}
=== Level 2 IA Practices ===
=== Level 2 IA Practices ===
==== IA.L2-3.5.3 – MULTIFACTOR AUTHENTICATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] privileged accounts are identified;
: [b] multifactor authentication is implemented for local access to privileged accounts;
: [c] multifactor authentication is implemented for network access to privileged accounts;
and
: [d] multifactor authentication is implemented for network access to non-privileged
accounts.
|-
|[[Practice_IA.L2-3.5.3_Details|More Practice Details...]]
|}
==== IA.L2-3.5.4 – REPLAY-RESISTANT AUTHENTICATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] replay-resistant authentication mechanisms are implemented for network account
access to privileged and non-privileged accounts.
|-
|[[Practice_IA.L2-3.5.4_Details|More Practice Details...]]
|}
==== IA.L2-3.5.5 – IDENTIFIER REUSE ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Prevent reuse of identifiers for a defined period.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] a period within which identifiers cannot be reused is defined; and
: [b] reuse of identifiers is prevented within the defined period.
|-
|[[Practice_IA.L2-3.5.5_Details|More Practice Details...]]
|}
==== IA.L2-3.5.6 – IDENTIFIER HANDLING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Disable identifiers after a defined period of inactivity.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] a period of inactivity after which an identifier is disabled is defined; and
: [b] identifiers are disabled after the defined period of inactivity.
|-
|[[Practice_IA.L2-3.5.6_Details|More Practice Details...]]
|}
==== IA.L2-3.5.7 – PASSWORD COMPLEXITY ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Enforce a minimum password complexity and change of characters when new passwords are created.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] password complexity requirements are defined;
: [b] password change of character requirements are defined;
: [c] minimum password complexity requirements as defined are enforced when new
passwords are created; and
: [d] minimum password change of character requirements as defined are enforced when
new passwords are created.
|-
|[[Practice_IA.L2-3.5.7_Details|More Practice Details...]]
|}
==== IA.L2-3.5.8 – PASSWORD REUSE ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Prohibit password reuse for a specified number of generations.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the number of generations during which a password cannot be reused is specified and [b] reuse of passwords is prohibited during the specified number of generations.
|-
|[[Practice_IA.L2-3.5.8_Details|More Practice Details...]]
|}
==== IA.L2-3.5.9 – TEMPORARY PASSWORDS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Allow temporary password use for system logons with an immediate change to a permanent password.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] an immediate change to a permanent password is required when a temporary password
is used for system logon.
|-
|[[Practice_IA.L2-3.5.9_Details|More Practice Details...]]
|}
==== IA.L2-3.5.10 – CRYPTOGRAPHICALLY-PROTECTED PASSWORDS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Store and transmit only cryptographically-protected passwords.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] passwords are cryptographically protected in storage; and
: [b] passwords are cryptographically protected in transit.
|-
|[[Practice_IA.L2-3.5.10_Details|More Practice Details...]]
|}
==== IA.L2-3.5.11 – OBSCURE FEEDBACK ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Obscure feedback of authentication information.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] authentication information is obscured during the authentication process.
|-
|[[Practice_IA.L2-3.5.11_Details|More Practice Details...]]
|}


== Incident Response (IR) ==
== Incident Response (IR) ==
=== Level 2 IR Practices ===
=== Level 2 IR Practices ===
==== IR.L2-3.6.1 – INCIDENT HANDLING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] an operational incident-handling capability is established;
: [b] the operational incident-handling capability includes preparation;
: [c] the operational incident-handling capability includes detection;
: [d] the operational incident-handling capability includes analysis;
: [e] the operational incident-handling capability includes containment;
: [f] the operational incident-handling capability includes recovery; and
: [g] the operational incident-handling capability includes user response
|-
|[[Practice_IR.L2-3.6.1_Details|More Practice Details...]]
|}
==== IR.L2-3.6.2 – INCIDENT REPORTING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] incidents are tracked;
: [b] incidents are documented;
: [c] authorities to whom incidents are to be reported are identified;
: [d] organizational officials to whom incidents are to be reported are identified;
: [e] identified authorities are notified of incidents; and
: [f] identified organizational officials are notified of incidents.
|-
|[[Practice_IR.L2-3.6.2_Details|More Practice Details...]]
|}
==== IR.L2-3.6.3 – INCIDENT RESPONSE TESTING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Test the organizational incident response capability.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the incident response capability is tested.
|-
|[[Practice_IR.L2-3.6.3_Details|More Practice Details...]]
|}


== Maintenance (MA) ==
== Maintenance (MA) ==
=== Level 2 MA Practices ===
=== Level 2 MA Practices ===
==== MA.L2-3.7.1 – PERFORM MAINTENANCE ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Perform maintenance on organizational systems.ASSESSMENT OBJECTIVES'''
: [a] system maintenance is performed.
|-
|[[Practice_MA.L2-3.7.1_Details|More Practice Details...]]
|}
==== MA.L2-3.7.2 – SYSTEM MAINTENANCE CONTROL ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] tools used to conduct system maintenance are controlled;
: [b] techniques used to conduct system maintenance are controlled;
: [c] mechanisms used to conduct system maintenance are controlled; and
: [d] personnel used to conduct system maintenance are controlled.
|-
|[[Practice_MA.L2-3.7.2_Details|More Practice Details...]]
|}
==== MA.L2-3.7.3 – EQUIPMENT SANITIZATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Ensure equipment removed for off-site maintenance is sanitized of any CUI.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] equipment to be removed from organizational spaces for off-site maintenance is
sanitized of any CUI.
|-
|[[Practice_MA.L2-3.7.3_Details|More Practice Details...]]
|}
==== MA.L2-3.7.4 – MEDIA INSPECTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] media containing diagnostic and test programs are checked for malicious code before
being used in organizational systems that process, store, or transmit CUI.
|-
|[[Practice_MA.L2-3.7.4_Details|More Practice Details...]]
|}
==== MA.L2-3.7.5 – NONLOCAL MAINTENANCE ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Require multifactor authentication to establish nonlocal maintenance sessions via external network connections and terminate such connections when nonlocal maintenance is complete.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] multifactor authentication is used to establish nonlocal maintenance sessions via
external network connections; and
: [b] nonlocal maintenance sessions established via external network connections are
terminated when nonlocal maintenance is complete.
|-
|[[Practice_MA.L2-3.7.5_Details|More Practice Details...]]
|}
==== MA.L2-3.7.6 – MAINTENANCE PERSONNEL ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Supervise the maintenance activities of maintenance personnel without required access authorization.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] maintenance personnel without required access authorization are supervised during
maintenance activities.
|-
|[[Practice_MA.L2-3.7.6_Details|More Practice Details...]]
|}


== Media Protection (MP) ==
== Media Protection (MP) ==
=== Level 1 MP Practices ===
=== Level 1 MP Practices ===
==== MP.L1-3.8.3 – MEDIA DISPOSAL ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] system media containing FCI is sanitized or destroyed before disposal; and
: [b] system media containing FCI is sanitized before it is released for reuse.
|-
|[[Practice_MP.L1-3.8.3_Details|More Practice Details...]]
|}
=== Level 2 MP Practices ===
=== Level 2 MP Practices ===
==== MP.L2-3.8.1 – MEDIA PROTECTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] paper media containing CUI is physically controlled;
: [b] digital media containing CUI is physically controlled;
: [c] paper media containing CUI is securely stored; and
: [d] digital media containing CUI is securely stored.
|-
|[[Practice_MP.L2-3.8.1_Details|More Practice Details...]]
|}
==== MP.L2-3.8.2 – MEDIA ACCESS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Limit access to CUI on system media to authorized users.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] access to CUI on system media is limited to authorized users.
|-
|[[Practice_MP.L2-3.8.2_Details|More Practice Details...]]
|}
==== MP.L2-3.8.4 – MEDIA MARKINGS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Mark media with necessary CUI markings and distribution limitations.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] media containing CUI is marked with applicable CUI markings; and
: [b] media containing CUI is marked with distribution limitations.
|-
|[[Practice_MP.L2-3.8.4_Details|More Practice Details...]]
|}
==== MP.L2-3.8.5 – MEDIA ACCOUNTABILITY ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] access to media containing CUI is controlled; and
: [b] accountability for media containing CUI is maintained during transport outside of
controlled areas.
|-
|[[Practice_MP.L2-3.8.5_Details|More Practice Details...]]
|}
==== MP.L2-3.8.6 – PORTABLE STORAGE ENCRYPTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the confidentiality of CUI stored on digital media is protected during transport using
cryptographic mechanisms or alternative physical safeguards.
|-
|[[Practice_MP.L2-3.8.6_Details|More Practice Details...]]
|}
==== MP.L2-3.8.7 – REMOVEABLE MEDIA ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Control the use of removable media on system components.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the use of removable media on system components is controlled.
|-
|[[Practice_MP.L2-3.8.7_Details|More Practice Details...]]
|}
==== MP.L2-3.8.8 – SHARED MEDIA
Prohibit the use of portable storage devices when such devices have no identifiable owner.ASSESSMENT OBJECTIVES'''
: [a] the use of portable storage devices is prohibited when such devices have no identifiable
owner.
|-
|[[Practice_MP.L2-3.8.8_Details|More Practice Details...]]
|}
==== MP.L2-3.8.9 – PROTECT BACKUPS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Protect the confidentiality of backup CUI at storage locations.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the confidentiality of backup CUI is protected at storage locations.
|-
|[[Practice_MP.L2-3.8.9_Details|More Practice Details...]]
|}


== Personnel Security (PS) ==
== Personnel Security (PS) ==
=== Level 2 PS Practices ===
=== Level 2 PS Practices ===
==== PS.L2-3.9.1 – SCREEN INDIVIDUALS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Screen individuals prior to authorizing access to organizational systems containing CUI.ASSESSMENT OBJECTIVES'''
: [a] individuals are screened prior to authorizing access to organizational systems
containing CUI.
|-
|[[Practice_PS.L2-3.9.1_Details|More Practice Details...]]
|}
==== PS.L2-3.9.2 – PERSONNEL ACTIONS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] a policy and/or process for terminating system access and any credentials coincident
with personnel actions is established;
: [b] system access and credentials are terminated consistent with personnel actions such as
termination or transfer; and
: [c] the system is protected during and after personnel transfer actions.
|-
|[[Practice_PS.L2-3.9.2_Details|More Practice Details...]]
|}


== Physical Protection (PE) ==
== Physical Protection (PE) ==
=== Level 1 PE Practices ===
=== Level 1 PE Practices ===
==== PE.L1-3.10.1 – LIMIT PHYSICAL ACCESS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Limit physical access to organizational information systems, equipment, and the respective operating environments to authorized individuals.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] authorized individuals allowed physical access are identified;
: [b] physical access to organizational systems is limited to authorized individuals;
: [c] physical access to equipment is limited to authorized individuals; and
: [d] physical access to operating environments is limited to authorized
|-
|[[Practice_PE.L1-3.10.1_Details|More Practice Details...]]
|}
==== PE.L1-3.10.3 – ESCORT VISITORS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Escort visitors and monitor visitor activity.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] visitors are escorted; and
: [b] visitor activity is monitored.
|-
|[[Practice_PE.L1-3.10.3_Details|More Practice Details...]]
|}
==== PE.L1-3.10.4 – PHYSICAL ACCESS LOGS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Maintain audit logs of physical access.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] audit logs of physical access are maintained.
|-
|[[Practice_PE.L1-3.10.4_Details|More Practice Details...]]
|}
==== PE.L1-3.10.5 – MANAGE PHYSICAL ACCESS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Control and manage physical access devices.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] physical access devices are identified;
: [b] physical access devices are controlled; and
: [c] physical access devices are managed.
|-
|[[Practice_PE.L1-3.10.5_Details|More Practice Details...]]
|}
=== Level 2 PE Practices ===
=== Level 2 PE Practices ===
==== PE.L2-3.10.2 – MONITOR FACILITY ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Protect and monitor the physical facility and support infrastructure for organizational systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the physical facility where organizational systems reside is protected;
: [b] the support infrastructure for organizational systems is protected;
: [c] the physical facility where organizational systems reside is monitored; and
: [d] the support infrastructure for organizational systems is monitored.
|-
|[[Practice_PE.L2-3.10.2_Details|More Practice Details...]]
|}
==== PE.L2-3.10.6 – ALTERNATIVE WORK SITES ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Enforce safeguarding measures for CUI at alternate work sites.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] safeguarding measures for CUI are defined for alternate work sites; and
: [b] safeguarding measures for CUI are enforced for alternate work sites.
|-
|[[Practice_PE.L2-3.10.6_Details|More Practice Details...]]
|}


== Risk Assessment (RA) ==
== Risk Assessment (RA) ==
=== Level 2 RA Practices ===
=== Level 2 RA Practices ===
==== RA.L2-3.11.1 – RISK ASSESSMENTS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
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.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the frequency to assess risk to organizational operations, organizational assets, and
individuals is defined; and
: [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.
|-
|[[Practice_RA.L2-3.11.1_Details|More Practice Details...]]
|}
==== RA.L2-3.11.2 – VULNERABILITY SCAN ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the frequency to scan for vulnerabilities in organizational systems and applications is
defined;
: [b] vulnerability scans are performed on organizational systems with the defined
frequency;
: [c] vulnerability scans are performed on applications with the defined frequency;
: [d] vulnerability scans are performed on organizational systems when new vulnerabilities
are identified; and
: [e] vulnerability scans are performed on applications when new vulnerabilities are
identified.
|-
|[[Practice_RA.L2-3.11.2_Details|More Practice Details...]]
|}
==== RA.L2-3.11.3 – VULNERABILITY REMEDIATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Remediate vulnerabilities in accordance with risk assessments.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] vulnerabilities are identified; and
: [b] vulnerabilities are remediated in accordance with risk assessments.
|-
|[[Practice_RA.L2-3.11.3_Details|More Practice Details...]]
|}


== Security Assessment (CA) ==
== Security Assessment (CA) ==
=== Level 2 CA Practices ===
=== Level 2 CA Practices ===
==== CA.L2-3.12.1 – SECURITY CONTROL ASSESSMENT ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Periodically assess the security controls in organizational systems to determine if the controls are effective in their application.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the frequency of security control assessments is defined; and
: [b] security controls are assessed with the defined frequency to determine if the controls
are effective in their application.
|-
|[[Practice_CA.L2-3.12.1_Details|More Practice Details...]]
|}
==== CA.L2-3.12.2 – PLAN OF ACTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] deficiencies and vulnerabilities to be addressed by the plan of action are identified;
: [b] a plan of action is developed to correct identified deficiencies and reduce or eliminate
identified vulnerabilities; and
: [c] the plan of action is implemented to correct identified deficiencies and reduce or
eliminate identified vulnerabilities.
|-
|[[Practice_CA.L2-3.12.2_Details|More Practice Details...]]
|}
==== CA.L2-3.12.3 – SECURITY CONTROL MONITORING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] security controls are monitored on an ongoing basis to ensure the continued
effectiveness of those controls.
|-
|[[Practice_CA.L2-3.12.3_Details|More Practice Details...]]
|}
==== CA.L2-3.12.4 – SYSTEM SECURITY PLAN ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
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'''
: [a] a system security plan is developed;
: [b] the system boundary is described and documented in the system security plan;
: [c] the system environment of operation is described and documented in the system
security plan;
: [d] the security requirements identified and approved by the designated authority as
non-applicable are identified;
: [e] the method of security requirement implementation is described and documented in
the system security plan;
: [f] the relationship with or connection to other systems is described and documented in
the system security plan;
: [g] the frequency to update the system security plan is defined; and
: [h] system security plan is updated with the defined frequency.
|-
|[[Practice_CA.L2-3.12.4_Details|More Practice Details...]]
|}


== System and Communications Protection (SC) ==
== System and Communications Protection (SC) ==
=== Level 1 SC Practices ===
=== Level 1 SC Practices ===
==== SC.L1-3.13.1 – BOUNDARY PROTECTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the external system boundary is defined;
: [b] key internal system boundaries are defined;
: [c] communications are monitored at the external system boundary;
: [d] communications are monitored at key internal boundaries;
: [e] communications are controlled at the external system boundary;
: [f] communications are controlled at key internal boundaries;
: [g] communications are protected at the external system boundary; and
: [h] communications are protected at key internal boundaries.
|-
|[[Practice_SC.L1-3.13.1_Details|More Practice Details...]]
|}
==== SC.L1-3.13.5 – PUBLIC-ACCESS SYSTEM SEPARATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] publicly accessible system components are identified; and
: [b] subnetworks for publicly accessible system components are physically or logically
separated from internal networks.
|-
|[[Practice_SC.L1-3.13.5_Details|More Practice Details...]]
|}
=== Level 2 SC Practices ===
=== Level 2 SC Practices ===
==== SC.L2-3.13.2 – SECURITY ENGINEERING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] architectural designs that promote effective information security are identified;
: [b] software development techniques that promote effective information security are
identified;
: [c] systems engineering principles that promote effective information security are
identified;
: [d] identified architectural designs that promote effective information security are
employed;
: [e] identified software development techniques that promote effective information
security are employed; and
: [f] identified systems engineering principles that promote effective information security
are employed.
|-
|[[Practice_SC.L2-3.13.2_Details|More Practice Details...]]
|}
==== SC.L2-3.13.3 – ROLE SEPARATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Separate user functionality from system management functionality.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] user functionality is identified;
: [b] system management functionality is identified; and
: [c] user functionality is separated from system management functionality.
|-
|[[Practice_SC.L2-3.13.3_Details|More Practice Details...]]
|}
==== SC.L2-3.13.4 – SHARED RESOURCE CONTROL ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Prevent unauthorized and unintended information transfer via shared system resources.ASSESSMENT OBJECTIVES'''
: [a] unauthorized and unintended information transfer via shared system resources is
prevented.
|-
|[[Practice_SC.L2-3.13.4_Details|More Practice Details...]]
|}
==== SC.L2-3.13.6 – NETWORK COMMUNICATION BY EXCEPTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception).
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] network communications traffic is denied by default; and
: [b] network communications traffic is allowed by exception.
|-
|[[Practice_SC.L2-3.13.6_Details|More Practice Details...]]
|}
==== SC.L2-3.13.7 – SPLIT TUNNELING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Prevent remote devices from simultaneously establishing non-remote connections with organizational systems and communicating via some other connection to resources in external networks (i.e., split tunneling).
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] remote devices are prevented from simultaneously establishing non-remote
connections with the system and communicating via some other connection to
resources in external networks (i.e., split tunneling).
|-
|[[Practice_SC.L2-3.13.7_Details|More Practice Details...]]
|}
==== SC.L2-3.13.8 – DATA IN TRANSIT ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] cryptographic mechanisms intended to prevent unauthorized disclosure of CUI are
identified;
: [b] alternative physical safeguards intended to prevent unauthorized disclosure of CUI are
identified; and
: [c] either cryptographic mechanisms or alternative physical safeguards are implemented
to prevent unauthorized disclosure of CUI during transmission.
|-
|[[Practice_SC.L2-3.13.8_Details|More Practice Details...]]
|}
==== SC.L2-3.13.9 – CONNECTIONS TERMINATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] a period of inactivity to terminate network connections associated with
communications sessions is defined;
: [b] network connections associated with communications sessions are terminated at the
end of the sessions; and
: [c] network connections associated with communications sessions are terminated after the
defined period of inactivity.
|-
|[[Practice_SC.L2-3.13.9_Details|More Practice Details...]]
|}
==== SC.L2-3.13.10 – KEY MANAGEMENT ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Establish and manage cryptographic keys for cryptography employed in organizational systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] cryptographic keys are established whenever cryptography is employed; and
: [b] cryptographic keys are managed whenever cryptography is employed.
|-
|[[Practice_SC.L2-3.13.10_Details|More Practice Details...]]
|}
==== SC.L2-3.13.11 – CUI ENCRYPTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Employ FIPS-validated cryptography when used to protect the confidentiality of CUI.ASSESSMENT OBJECTIVES'''
: [a] FIPS-validated cryptography is employed to protect the confidentiality of CUI.
|-
|[[Practice_SC.L2-3.13.11_Details|More Practice Details...]]
|}
==== SC.L2-3.13.12 – COLLABORATIVE DEVICE CONTROL ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Prohibit remote activation of collaborative computing devices and provide indication of devices in use to users present at the device.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] collaborative computing devices are identified;
: [b] collaborative computing devices provide indication to users of devices in use; and
: [c] remote activation of collaborative computing devices is prohibited.
|-
|[[Practice_SC.L2-3.13.12_Details|More Practice Details...]]
|}
==== SC.L2-3.13.13 – MOBILE CODE ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Control and monitor the use of mobile code.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] use of mobile code is controlled; and
: [b] use of mobile code is monitored.
|-
|[[Practice_SC.L2-3.13.13_Details|More Practice Details...]]
|}
==== SC.L2-3.13.14 – VOICE OVER INTERNET PROTOCOL ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Control and monitor the use of Voice over Internet Protocol (VoIP) technologies.ASSESSMENT OBJECTIVES'''
: [a] use of Voice over Internet Protocol (VoIP) technologies is controlled; and
: [b] use of Voice over Internet Protocol (VoIP) technologies is monitored.
|-
|[[Practice_SC.L2-3.13.14_Details|More Practice Details...]]
|}
==== SC.L2-3.13.15 – COMMUNICATIONS AUTHENTICITY ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Protect the authenticity of communications sessions.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the authenticity of communications sessions is protected.
|-
|[[Practice_SC.L2-3.13.15_Details|More Practice Details...]]
|}
==== SC.L2-3.13.16 – DATA AT REST ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Protect the confidentiality of CUI at rest.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the confidentiality of CUI at rest is protected.
|-
|[[Practice_SC.L2-3.13.16_Details|More Practice Details...]]
|}


== System and Information Integrity (SI) ==
== System and Information Integrity (SI) ==
=== Level 1 SI Practices ===
=== Level 1 SI Practices ===
==== SI.L1-3.14.1 – FLAW REMEDIATION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Identify, report, and correct information and information system flaws in a timely manner.ASSESSMENT OBJECTIVES'''
: [a] the time within which to identify system flaws is specified;
: [b] system flaws are identified within the specified time frame;
: [c] the time within which to report system flaws is specified;
: [d] system flaws are reported within the specified time frame;
: [e] the time within which to correct system flaws is specified; and
: [f] system flaws are corrected within the specified time frame.
|-
|[[Practice_SI.L1-3.14.1_Details|More Practice Details...]]
|}
==== SI.L1-3.14.2 – MALICIOUS CODE PROTECTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Provide protection from malicious code at appropriate locations within organizational information systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] designated locations for malicious code protection are identified; and
: [b] protection from malicious code at designated locations is provided.
|-
|[[Practice_SI.L1-3.14.2_Details|More Practice Details...]]
|}
==== SI.L1-3.14.4 – UPDATE MALICIOUS CODE PROTECTION ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Update malicious code protection mechanisms when new releases are available.ASSESSMENT OBJECTIVES'''
: [a] malicious code protection mechanisms are updated when new releases are available.
|-
|[[Practice_SI.L1-3.14.4_Details|More Practice Details...]]
|}
==== SI.L1-3.14.5 – SYSTEM & FILE SCANNING ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Perform periodic scans of the information system and real-time scans of files from external sources as files are downloaded, opened, or executed.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the frequency for malicious code scans is defined;
: [b] malicious code scans are performed with the defined frequency; and
: [c] real-time malicious code scans of files from external sources as files are downloaded,
opened, or executed are performed.
|-
|[[Practice_SI.L1-3.14.5_Details|More Practice Details...]]
|}
=== Level 2 SI Practices ===
=== Level 2 SI Practices ===
==== SI.L2-3.14.3 – SECURITY ALERTS & ADVISORIES ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Monitor system security alerts and advisories and take action in response.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] response actions to system security alerts and advisories are identified;
: [b] system security alerts and advisories are monitored; and
: [c] actions in response to system security alerts and advisories are taken.
|-
|[[Practice_SI.L2-3.14.3_Details|More Practice Details...]]
|}
==== SI.L2-3.14.6 – MONITOR COMMUNICATIONS FOR ATTACKS ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] the system is monitored to detect attacks and indicators of potential attacks;
: [b] inbound communications traffic is monitored to detect attacks and indicators of
potential attacks; and
: [c] outbound communications traffic is monitored to detect attacks and indicators of
potential attacks.
|-
|[[Practice_SI.L2-3.14.6_Details|More Practice Details...]]
|}
==== SI.L2-3.14.7 – IDENTIFY UNAUTHORIZED USE ====
{|class="wikitable"
|'''SECURITY REQUIREMENT'''
Identify unauthorized use of organizational systems.
|-
|'''ASSESSMENT OBJECTIVES'''
: [a] authorized use of the system is defined; and
: [b] unauthorized use of the system is identified.
|-
|[[Practice_SI.L2-3.14.7_Details|More Practice Details...]]
|}

Revision as of 20:37, 22 February 2022

Source of Reference: The official CMMC Level 2 Assessment Guide from the Office of the Under Secretary of Defense Acquisition & Sustainment.

For inquiries and reporting errors on this wiki, please contact us. Thank you.

Access Control (AC)

Level 1 AC Practices

AC.L1-3.1.1 - Authorized Access Control

SECURITY REQUIREMENT

Limit information system access to authorized users, processes acting on behalf of authorized users, or devices (including other information systems).

ASSESSMENT OBJECTIVES
[a] authorized users are identified;
[b] processes acting on behalf of authorized users are identified;
[c] devices (and other systems) authorized to connect to the system are identified;
[d] system access is limited to authorized users;
[e] system access is limited to processes acting on behalf of authorized users; and
[f] system access is limited to authorized devices (including other systems).
More Practice Details...

AC.L1-3.1.2 - Transaction & Function Control

SECURITY REQUIREMENT

Limit information system access to the types of transactions and functions that authorized users are permitted to execute.

ASSESSMENT OBJECTIVES
[a] the types of transactions and functions that authorized users are permitted to execute are defined; and
[b] system access is limited to the defined types of transactions and functions for authorized users.
More Practice Details...

AC.L1-3.1.20 - External Connections

SECURITY REQUIREMENT

Verify and control/limit connections to and use of external information systems.

ASSESSMENT OBJECTIVES
[a] connections to external systems are identified;
[b] the use of external systems is identified;
[c] connections to external systems are verified;
[d] the use of external systems is verified;
[e] connections to external systems are controlled/limited; and
[f] the use of external systems is controlled/limited.
More Practice Details...

AC.L1-3.1.22 - Control Public Information

SECURITY REQUIREMENT

Control information posted or processed on publicly accessible information systems.

ASSESSMENT OBJECTIVES
[a] individuals authorized to post or process information on publicly accessible systems are identified;
[b] procedures to ensure FCI is not posted or processed on publicly accessible systems are identified;
[c] a review process is in place prior to posting of any content to publicly accessible systems;
[d] content on publicly accessible systems is reviewed to ensure that it does not include FCI; and
[e] mechanisms are in place to remove and address improper posting of FCI.
More Practice Details...

Level 2 AC Practices

AC.L2-3.1.3 – Control CUI Flow

SECURITY REQUIREMENT

Control the flow of CUI in accordance with approved authorizations.

ASSESSMENT OBJECTIVES
[a] information flow control policies are defined;
[b] methods and enforcement mechanisms for controlling the flow of CUI are defined;
[c] designated sources and destinations (e.g., networks, individuals, and devices) for CUI within the system and between interconnected systems are identified;
[d] authorizations for controlling the flow of CUI are defined; and
[e] approved authorizations for controlling the flow of CUI are enforced.
More Practice Details...

AC.L2-3.1.4 – Separation of Duties

SECURITY REQUIREMENT

Separate the duties of individuals to reduce the risk of malevolent activity without collusion.

ASSESSMENT OBJECTIVES
[a] the duties of individuals requiring separation are defined;
[b] responsibilities for duties that require separation are assigned to separate individuals; and
[c] access privileges that enable individuals to exercise the duties that require separation are granted to separate individuals.
More Practice Details...

AC.L2-3.1.5 – Least Privilege

SECURITY REQUIREMENT

Employ the principle of least privilege, including for specific security functions and privileged accounts.

ASSESSMENT OBJECTIVES
[a] privileged accounts are identified;
[b] access to privileged accounts is authorized in accordance with the principle of least privilege;
[c] security functions are identified; and
[d] access to security functions is authorized in accordance with the principle of least privilege.
More Practice Details...

AC.L2-3.1.6 – Non-Privileged Account Use

SECURITY REQUIREMENT

Use non-privileged accounts or roles when accessing nonsecurity functions.

ASSESSMENT OBJECTIVES
[a] nonsecurity functions are identified; and
[b] users are required to use non-privileged accounts or roles when accessing nonsecurity functions.
More Practice Details...

AC.L2-3.1.7 – Privileged Functions

SECURITY REQUIREMENT

Prevent non-privileged users from executing privileged functions and capture the execution of such functions in audit logs.

ASSESSMENT OBJECTIVES
[a] privileged functions are defined;
[b] non-privileged users are defined;
[c] non-privileged users are prevented from executing privileged functions; and
[d] the execution of privileged functions is captured in audit logs.
More Practice Details...

AC.L2-3.1.8 – Unsuccessful Logon Attempts

SECURITY REQUIREMENT

Limit unsuccessful logon attempts.

ASSESSMENT OBJECTIVES
[a] the means of limiting unsuccessful logon attempts is defined; and
[b] the defined means of limiting unsuccessful logon attempts is implemented.
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AC.L2-3.1.9 – Privacy & Security Notices

SECURITY REQUIREMENT

Provide privacy and security notices consistent with applicable CUI rules.

ASSESSMENT OBJECTIVES
[a] privacy and security notices required by CUI-specified rules are identified, consistent, and associated with the specific CUI category; and
[b] privacy and security notices are displayed.
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AC.L2-3.1.10 – Session Lock

SECURITY REQUIREMENT

Use session lock with pattern-hiding displays to prevent access and viewing of data after a period of inactivity.

ASSESSMENT OBJECTIVES
[a] the period of inactivity after which the system initiates a session lock is defined;
[b] access to the system and viewing of data is prevented by initiating a session lock after the defined period of inactivity; and
[c] previously visible information is concealed via a pattern-hiding display after the defined period of inactivity.
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AC.L2-3.1.11 – Session Termination

SECURITY REQUIREMENT

Terminate (automatically) a user session after a defined condition.

ASSESSMENT OBJECTIVES
[a] conditions requiring a user session to terminate are defined; and
[b] a user session is automatically terminated after any of the defined conditions
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AC.L2-3.1.12 – Control Remote Access

SECURITY REQUIREMENT

Monitor and control remote access sessions.

ASSESSMENT OBJECTIVES
[a] remote access sessions are permitted;
[b] the types of permitted remote access are identified;
[c] remote access sessions are controlled; and
[d] remote access sessions are monitored.
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AC.L2-3.1.13 – Remote Access Confidentiality

SECURITY REQUIREMENT

Employ cryptographic mechanisms to protect the confidentiality of remote access sessions.

ASSESSMENT OBJECTIVES
[a] cryptographic mechanisms to protect the confidentiality of remote access sessions are identified; and
[b] cryptographic mechanisms to protect the confidentiality of remote access sessions are implemented.
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AC.L2-3.1.14 – Remote Access Routing

SECURITY REQUIREMENT

Route remote access via managed access control points.

ASSESSMENT OBJECTIVES
[a] managed access control points are identified and implemented; and
[b] remote access is routed through managed network access control points.
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AC.L2-3.1.15 – Privileged Remote Access

SECURITY REQUIREMENT

Authorize remote execution of privileged commands and remote access to security-relevant information.

ASSESSMENT OBJECTIVES
[a] privileged commands authorized for remote execution are identified;
[b] security-relevant information authorized to be accessed remotely is identified;
[c] the execution of the identified privileged commands via remote access is authorized; and
[d] access to the identified security-relevant information via remote access is authorized.
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AC.L2-3.1.16 – Wireless Access Authorization

SECURITY REQUIREMENT

Authorize wireless access prior to allowing such connections.

ASSESSMENT OBJECTIVES
[a] wireless access points are identified; and
[b] wireless access is authorized prior to allowing such connections.
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AC.L2-3.1.17 – Wireless Access Protection

SECURITY REQUIREMENT

Protect wireless access using authentication and encryption.

ASSESSMENT OBJECTIVES
[a] wireless access to the system is protected using authentication; and
[b] wireless access to the system is protected using encryption.
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AC.L2-3.1.18 – Mobile Device Connection

SECURITY REQUIREMENT

Control connection of mobile devices.

ASSESSMENT OBJECTIVES
[a] mobile devices that process, store, or transmit CUI are identified;
[b] mobile device connections are authorized; and
[c] mobile device connections are monitored and logged.
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AC.L2-3.1.19 – Encrypt CUI on Mobile

SECURITY REQUIREMENT

Encrypt CUI on mobile devices and mobile computing platforms.

ASSESSMENT OBJECTIVES
[a] mobile devices and mobile computing platforms that process, store, or transmit CUI are identified; and
[b] encryption is employed to protect CUI on identified mobile devices and mobile computing platforms.
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AC.L2-3.1.21 – Portable Storage Use

SECURITY REQUIREMENT

Limit use of portable storage devices on external systems.

ASSESSMENT OBJECTIVES
[a] the use of portable storage devices containing CUI on external systems is identified and documented;
[b] limits on the use of portable storage devices containing CUI on external systems are defined; and
[c] the use of portable storage devices containing CUI on external systems is limited as defined.
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Awareness and Training (AT)

Level 2 AT Practices

AT.L2-3.2.1 – ROLE-BASED RISK AWARENESS

SECURITY REQUIREMENT

Ensure that managers, systems administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems.

ASSESSMENT OBJECTIVES
[a] security risks associated with organizational activities involving CUI are identified;
[b] policies, standards, and procedures related to the security of the system are identified;[c] managers, systems administrators, and users of the system are made aware of the security risks associated with their activities; and
[d] managers, systems administrators, and users of the system are made aware of the applicable policies, standards, and procedures related to the security of the system.
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AT.L2-3.2.2 – ROLE-BASED TRAINING

SECURITY REQUIREMENT

Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities.|-

ASSESSMENT OBJECTIVES
[a] information security-related duties, roles, and responsibilities are defined;
[b] information security-related duties, roles, and responsibilities are assigned to

designated personnel; and

[c] personnel are adequately trained to carry out their assigned information security-related duties, roles, and responsibilities.
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AT.L2-3.2.3 – INSIDER THREAT AWARENESS

SECURITY REQUIREMENT

Provide security awareness training on recognizing and reporting potential indicators of insider threat.

ASSESSMENT OBJECTIVES
[a] potential indicators associated with insider threats are identified; and
[b] security awareness training on recognizing and reporting potential indicators of insider threat is provided to managers and employees.
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Audit and Accountability (AU)

Level 2 AU Practices

AU.L2-3.3.1 – SYSTEM AUDITING

SECURITY REQUIREMENT

Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity.

ASSESSMENT OBJECTIVES
[a] audit logs needed (i.e., event types to be logged) to enable the monitoring, analysis,

investigation, and reporting of unlawful or unauthorized system activity are specified;[b] the content of audit records needed to support monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity is defined;

[c] audit records are created (generated);
[d] audit records, once created, contain the defined content;
[e] retention requirements for audit records are defined; and
[f] audit records are retained as defined.
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AU.L2-3.3.2 – USER ACCOUNTABILITY

SECURITY REQUIREMENT

Ensure that the actions of individual system users can be uniquely traced to those users so they can be held accountable for their actions.

ASSESSMENT OBJECTIVES
[a] the content of the audit records needed to support the ability to uniquely trace users to

their actions is defined; and

[b] audit records, once created, contain the defined content.
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AU.L2-3.3.3 – EVENT REVIEW

SECURITY REQUIREMENT

Review and update logged events.

ASSESSMENT OBJECTIVES
[a] a process for determining when to review logged events is defined;
[b] event types being logged are reviewed in accordance with the defined review process;

and

[c] event types being logged are updated based on the review.
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AU.L2-3.3.4 – AUDIT FAILURE ALERTING

SECURITY REQUIREMENT

Alert in the event of an audit logging process failure.

ASSESSMENT OBJECTIVES
[a] personnel or roles to be alerted in the event of an audit logging process failure are

identified;

[b] types of audit logging process failures for which alert will be generated are defined; and
[c] identified personnel or roles are alerted in the event of an audit logging process failure.
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AU.L2-3.3.5 – AUDIT CORRELATION

SECURITY REQUIREMENT

Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity.

ASSESSMENT OBJECTIVES
[a] audit record review, analysis, and reporting processes for investigation and response to

indications of unlawful, unauthorized, suspicious, or unusual activity are defined; and

[b] defined audit record review, analysis, and reporting processes are correlated.
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AU.L2-3.3.6 – REDUCTION & REPORTING

SECURITY REQUIREMENT

Provide audit record reduction and report generation to support on-demand analysis and reporting.

ASSESSMENT OBJECTIVES
[a] an audit record reduction capability that supports on-demand analysis is provided; and [b] a report generation capability that supports on-demand reporting is provided.
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AU.L2-3.3.7 – AUTHORITATIVE TIME SOURCE

SECURITY REQUIREMENT

Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records.

ASSESSMENT OBJECTIVES
[a] internal system clocks are used to generate time stamps for audit records;
[b] an authoritative source with which to compare and synchronize internal system clocks

is specified; and

[c] internal system clocks used to generate time stamps for audit records are compared to

and synchronized with the specified authoritative time source.

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AU.L2-3.3.8 – AUDIT PROTECTION

SECURITY REQUIREMENT

Protect audit information and audit logging tools from unauthorized access, modification, and deletion.

ASSESSMENT OBJECTIVES
[a] audit information is protected from unauthorized access;
[b] audit information is protected from unauthorized modification;
[c] audit information is protected from unauthorized deletion;
[d] audit logging tools are protected from unauthorized access;
[e] audit logging tools are protected from unauthorized modification; and
[f] audit logging tools are protected from unauthorized deletion.
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AU.L2-3.3.9 – AUDIT MANAGEMENT

SECURITY REQUIREMENT

Limit management of audit logging functionality to a subset of privileged users.ASSESSMENT OBJECTIVES

[a] a subset of privileged users granted access to manage audit logging functionality is

defined; and

[b] management of audit logging functionality is limited to the defined subset of privileged

users.

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Configuration Management (CM)

Level 2 CM Practices

CM.L2-3.4.1 – SYSTEM BASELINING

SECURITY REQUIREMENT

Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles.

ASSESSMENT OBJECTIVES
[a] a baseline configuration is established;
[b] the baseline configuration includes hardware, software, firmware, and documentation;[c] the baseline configuration is maintained (reviewed and updated) throughout the

system development life cycle;

[d] a system inventory is established;
[e] the system inventory includes hardware, software, firmware, and documentation; and [f] the inventory is maintained (reviewed and updated) throughout the system

development life cycle.

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CM.L2-3.4.2 – SECURITY CONFIGURATION ENFORCEMENT

SECURITY REQUIREMENT

Establish and enforce security configuration settings for information technology products employed in organizational systems.

ASSESSMENT OBJECTIVES
[a] security configuration settings for information technology products employed in the

system are established and included in the baseline configuration; and

[b] security configuration settings for information technology products employed in the

system are enforced.

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CM.L2-3.4.3 – SYSTEM CHANGE MANAGEMENT

SECURITY REQUIREMENT

Track, review, approve or disapprove, and log changes to organizational systems.ASSESSMENT OBJECTIVES

[a] changes to the system are tracked;
[b] changes to the system are reviewed;
[c] changes to the system are approved or disapproved; and
[d] changes to the system are logged.
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CM.L2-3.4.4 – SECURITY IMPACT ANALYSIS

SECURITY REQUIREMENT

Analyze the security impact of changes prior to implementation.

ASSESSMENT OBJECTIVES
[a] the security impact of changes to the system is analyzed prior to implementation.
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CM.L2-3.4.5 – ACCESS RESTRICTIONS FOR CHANGE

SECURITY REQUIREMENT

Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems.

ASSESSMENT OBJECTIVES
[a] physical access restrictions associated with changes to the system are defined;
[b] physical access restrictions associated with changes to the system are documented;
[c] physical access restrictions associated with changes to the system are approved;
[d] physical access restrictions associated with changes to the system are enforced;
[e] logical access restrictions associated with changes to the system are defined;
[f] logical access restrictions associated with changes to the system are documented;
[g] logical access restrictions associated with changes to the system are approved; and
[h] logical access restrictions associated with changes to the system are enforced.
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CM.L2-3.4.6 – LEAST FUNCTIONALITY

SECURITY REQUIREMENT

Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities.

ASSESSMENT OBJECTIVES
[a] essential system capabilities are defined based on the principle of least functionality;

and

[b] the system is configured to provide only the defined essential capabilities.
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CM.L2-3.4.7 – NONESSENTIAL FUNCTIONALITY

SECURITY REQUIREMENT

Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services.

ASSESSMENT OBJECTIVES
[a] essential programs are defined;
[b] the use of nonessential programs is defined;
[c] the use of nonessential programs is restricted, disabled, or prevented as defined;
[d] essential functions are defined;
[e] the use of nonessential functions is defined;
[f] the use of nonessential functions is restricted, disabled, or prevented as defined;
[g] essential ports are defined;
[h] the use of nonessential ports is defined;
[i] the use of nonessential ports is restricted, disabled, or prevented as defined;
[j] essential protocols are defined;
[k] the use of nonessential protocols is defined;
[l] the use of nonessential protocols is restricted, disabled, or prevented as defined;
[m] essential services are defined;
[n] the use of nonessential services is defined; and
[o] the use of nonessential services is restricted, disabled, or prevented as defined.
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CM.L2-3.4.8 – APPLICATION EXECUTION POLICY

SECURITY REQUIREMENT

Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software.

ASSESSMENT OBJECTIVES
[a] a policy specifying whether whitelisting or blacklisting is to be implemented is

specified;

[b] the software allowed to execute under whitelisting or denied use under blacklisting is

specified; and

[c] whitelisting to allow the execution of authorized software or blacklisting to prevent the

use of unauthorized software is implemented as specified.

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CM.L2-3.4.9 – USER-INSTALLED SOFTWARE

SECURITY REQUIREMENT

Control and monitor user-installed software.

ASSESSMENT OBJECTIVES
[a] a policy for controlling the installation of software by users is established;
[b] installation of software by users is controlled based on the established policy; and
[c] installation of software by users is monitored.
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Identification and Authentication (IA)

Level 1 IA Practices

IA.L1-3.5.1 – IDENTIFICATION

SECURITY REQUIREMENT

Identify information system users, processes acting on behalf of users, or devices.ASSESSMENT OBJECTIVES

[a] system users are identified;
[b] processes acting on behalf of users are identified; and
[c] devices accessing the system are identified.
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IA.L1-3.5.2 – AUTHENTICATION

SECURITY REQUIREMENT

Authenticate (or verify) the identities of those users, processes, or devices, as a prerequisite to allowing access to organizational information systems.

ASSESSMENT OBJECTIVES
[a] the identity of each user is authenticated or verified as a prerequisite to system access;[b] the identity of each process acting on behalf of a user is authenticated or verified as a

prerequisite to system access; and

[c] the identity of each device accessing or connecting to the system is authenticated or

verified as a prerequisite to system access.

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Level 2 IA Practices

IA.L2-3.5.3 – MULTIFACTOR AUTHENTICATION

SECURITY REQUIREMENT

Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts.

ASSESSMENT OBJECTIVES
[a] privileged accounts are identified;
[b] multifactor authentication is implemented for local access to privileged accounts;
[c] multifactor authentication is implemented for network access to privileged accounts;

and

[d] multifactor authentication is implemented for network access to non-privileged

accounts.

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IA.L2-3.5.4 – REPLAY-RESISTANT AUTHENTICATION

SECURITY REQUIREMENT

Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts.

ASSESSMENT OBJECTIVES
[a] replay-resistant authentication mechanisms are implemented for network account

access to privileged and non-privileged accounts.

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IA.L2-3.5.5 – IDENTIFIER REUSE

SECURITY REQUIREMENT

Prevent reuse of identifiers for a defined period.

ASSESSMENT OBJECTIVES
[a] a period within which identifiers cannot be reused is defined; and
[b] reuse of identifiers is prevented within the defined period.
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IA.L2-3.5.6 – IDENTIFIER HANDLING

SECURITY REQUIREMENT

Disable identifiers after a defined period of inactivity.

ASSESSMENT OBJECTIVES
[a] a period of inactivity after which an identifier is disabled is defined; and
[b] identifiers are disabled after the defined period of inactivity.
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IA.L2-3.5.7 – PASSWORD COMPLEXITY

SECURITY REQUIREMENT

Enforce a minimum password complexity and change of characters when new passwords are created.

ASSESSMENT OBJECTIVES
[a] password complexity requirements are defined;
[b] password change of character requirements are defined;
[c] minimum password complexity requirements as defined are enforced when new

passwords are created; and

[d] minimum password change of character requirements as defined are enforced when

new passwords are created.

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IA.L2-3.5.8 – PASSWORD REUSE

SECURITY REQUIREMENT

Prohibit password reuse for a specified number of generations.

ASSESSMENT OBJECTIVES
[a] the number of generations during which a password cannot be reused is specified and [b] reuse of passwords is prohibited during the specified number of generations.
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IA.L2-3.5.9 – TEMPORARY PASSWORDS

SECURITY REQUIREMENT

Allow temporary password use for system logons with an immediate change to a permanent password.

ASSESSMENT OBJECTIVES
[a] an immediate change to a permanent password is required when a temporary password

is used for system logon.

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IA.L2-3.5.10 – CRYPTOGRAPHICALLY-PROTECTED PASSWORDS

SECURITY REQUIREMENT

Store and transmit only cryptographically-protected passwords.

ASSESSMENT OBJECTIVES
[a] passwords are cryptographically protected in storage; and
[b] passwords are cryptographically protected in transit.
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IA.L2-3.5.11 – OBSCURE FEEDBACK

SECURITY REQUIREMENT

Obscure feedback of authentication information.

ASSESSMENT OBJECTIVES
[a] authentication information is obscured during the authentication process.
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Incident Response (IR)

Level 2 IR Practices

IR.L2-3.6.1 – INCIDENT HANDLING

SECURITY REQUIREMENT

Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities.

ASSESSMENT OBJECTIVES
[a] an operational incident-handling capability is established;
[b] the operational incident-handling capability includes preparation;
[c] the operational incident-handling capability includes detection;
[d] the operational incident-handling capability includes analysis;
[e] the operational incident-handling capability includes containment;
[f] the operational incident-handling capability includes recovery; and
[g] the operational incident-handling capability includes user response
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IR.L2-3.6.2 – INCIDENT REPORTING

SECURITY REQUIREMENT

Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization.

ASSESSMENT OBJECTIVES
[a] incidents are tracked;
[b] incidents are documented;
[c] authorities to whom incidents are to be reported are identified;
[d] organizational officials to whom incidents are to be reported are identified;
[e] identified authorities are notified of incidents; and
[f] identified organizational officials are notified of incidents.
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IR.L2-3.6.3 – INCIDENT RESPONSE TESTING

SECURITY REQUIREMENT

Test the organizational incident response capability.

ASSESSMENT OBJECTIVES
[a] the incident response capability is tested.
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Maintenance (MA)

Level 2 MA Practices

MA.L2-3.7.1 – PERFORM MAINTENANCE

SECURITY REQUIREMENT

Perform maintenance on organizational systems.ASSESSMENT OBJECTIVES

[a] system maintenance is performed.
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MA.L2-3.7.2 – SYSTEM MAINTENANCE CONTROL

SECURITY REQUIREMENT

Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance.

ASSESSMENT OBJECTIVES
[a] tools used to conduct system maintenance are controlled;
[b] techniques used to conduct system maintenance are controlled;
[c] mechanisms used to conduct system maintenance are controlled; and
[d] personnel used to conduct system maintenance are controlled.
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MA.L2-3.7.3 – EQUIPMENT SANITIZATION

SECURITY REQUIREMENT

Ensure equipment removed for off-site maintenance is sanitized of any CUI.

ASSESSMENT OBJECTIVES
[a] equipment to be removed from organizational spaces for off-site maintenance is

sanitized of any CUI.

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MA.L2-3.7.4 – MEDIA INSPECTION

SECURITY REQUIREMENT

Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems.

ASSESSMENT OBJECTIVES
[a] media containing diagnostic and test programs are checked for malicious code before

being used in organizational systems that process, store, or transmit CUI.

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MA.L2-3.7.5 – NONLOCAL MAINTENANCE

SECURITY REQUIREMENT

Require multifactor authentication to establish nonlocal maintenance sessions via external network connections and terminate such connections when nonlocal maintenance is complete.

ASSESSMENT OBJECTIVES
[a] multifactor authentication is used to establish nonlocal maintenance sessions via

external network connections; and

[b] nonlocal maintenance sessions established via external network connections are

terminated when nonlocal maintenance is complete.

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MA.L2-3.7.6 – MAINTENANCE PERSONNEL

SECURITY REQUIREMENT

Supervise the maintenance activities of maintenance personnel without required access authorization.

ASSESSMENT OBJECTIVES
[a] maintenance personnel without required access authorization are supervised during

maintenance activities.

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Media Protection (MP)

Level 1 MP Practices

MP.L1-3.8.3 – MEDIA DISPOSAL

SECURITY REQUIREMENT

Sanitize or destroy information system media containing Federal Contract Information before disposal or release for reuse.

ASSESSMENT OBJECTIVES
[a] system media containing FCI is sanitized or destroyed before disposal; and
[b] system media containing FCI is sanitized before it is released for reuse.
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Level 2 MP Practices

MP.L2-3.8.1 – MEDIA PROTECTION

SECURITY REQUIREMENT

Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital.

ASSESSMENT OBJECTIVES
[a] paper media containing CUI is physically controlled;
[b] digital media containing CUI is physically controlled;
[c] paper media containing CUI is securely stored; and
[d] digital media containing CUI is securely stored.
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MP.L2-3.8.2 – MEDIA ACCESS

SECURITY REQUIREMENT

Limit access to CUI on system media to authorized users.

ASSESSMENT OBJECTIVES
[a] access to CUI on system media is limited to authorized users.
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MP.L2-3.8.4 – MEDIA MARKINGS

SECURITY REQUIREMENT

Mark media with necessary CUI markings and distribution limitations.

ASSESSMENT OBJECTIVES
[a] media containing CUI is marked with applicable CUI markings; and
[b] media containing CUI is marked with distribution limitations.
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MP.L2-3.8.5 – MEDIA ACCOUNTABILITY

SECURITY REQUIREMENT

Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas.

ASSESSMENT OBJECTIVES
[a] access to media containing CUI is controlled; and
[b] accountability for media containing CUI is maintained during transport outside of

controlled areas.

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MP.L2-3.8.6 – PORTABLE STORAGE ENCRYPTION

SECURITY REQUIREMENT

Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards.

ASSESSMENT OBJECTIVES
[a] the confidentiality of CUI stored on digital media is protected during transport using

cryptographic mechanisms or alternative physical safeguards.

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MP.L2-3.8.7 – REMOVEABLE MEDIA

SECURITY REQUIREMENT

Control the use of removable media on system components.

ASSESSMENT OBJECTIVES
[a] the use of removable media on system components is controlled.
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==== MP.L2-3.8.8 – SHARED MEDIA Prohibit the use of portable storage devices when such devices have no identifiable owner.ASSESSMENT OBJECTIVES

[a] the use of portable storage devices is prohibited when such devices have no identifiable

owner. |- |More Practice Details... |}

MP.L2-3.8.9 – PROTECT BACKUPS

SECURITY REQUIREMENT

Protect the confidentiality of backup CUI at storage locations.

ASSESSMENT OBJECTIVES
[a] the confidentiality of backup CUI is protected at storage locations.
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Personnel Security (PS)

Level 2 PS Practices

PS.L2-3.9.1 – SCREEN INDIVIDUALS

SECURITY REQUIREMENT

Screen individuals prior to authorizing access to organizational systems containing CUI.ASSESSMENT OBJECTIVES

[a] individuals are screened prior to authorizing access to organizational systems

containing CUI.

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PS.L2-3.9.2 – PERSONNEL ACTIONS

SECURITY REQUIREMENT

Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers.

ASSESSMENT OBJECTIVES
[a] a policy and/or process for terminating system access and any credentials coincident

with personnel actions is established;

[b] system access and credentials are terminated consistent with personnel actions such as

termination or transfer; and

[c] the system is protected during and after personnel transfer actions.
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Physical Protection (PE)

Level 1 PE Practices

PE.L1-3.10.1 – LIMIT PHYSICAL ACCESS

SECURITY REQUIREMENT

Limit physical access to organizational information systems, equipment, and the respective operating environments to authorized individuals.

ASSESSMENT OBJECTIVES
[a] authorized individuals allowed physical access are identified;
[b] physical access to organizational systems is limited to authorized individuals;
[c] physical access to equipment is limited to authorized individuals; and
[d] physical access to operating environments is limited to authorized
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PE.L1-3.10.3 – ESCORT VISITORS

SECURITY REQUIREMENT

Escort visitors and monitor visitor activity.

ASSESSMENT OBJECTIVES
[a] visitors are escorted; and
[b] visitor activity is monitored.
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PE.L1-3.10.4 – PHYSICAL ACCESS LOGS

SECURITY REQUIREMENT

Maintain audit logs of physical access.

ASSESSMENT OBJECTIVES
[a] audit logs of physical access are maintained.
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PE.L1-3.10.5 – MANAGE PHYSICAL ACCESS

SECURITY REQUIREMENT

Control and manage physical access devices.

ASSESSMENT OBJECTIVES
[a] physical access devices are identified;
[b] physical access devices are controlled; and
[c] physical access devices are managed.
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Level 2 PE Practices

PE.L2-3.10.2 – MONITOR FACILITY

SECURITY REQUIREMENT

Protect and monitor the physical facility and support infrastructure for organizational systems.

ASSESSMENT OBJECTIVES
[a] the physical facility where organizational systems reside is protected;
[b] the support infrastructure for organizational systems is protected;
[c] the physical facility where organizational systems reside is monitored; and
[d] the support infrastructure for organizational systems is monitored.
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PE.L2-3.10.6 – ALTERNATIVE WORK SITES

SECURITY REQUIREMENT

Enforce safeguarding measures for CUI at alternate work sites.

ASSESSMENT OBJECTIVES
[a] safeguarding measures for CUI are defined for alternate work sites; and
[b] safeguarding measures for CUI are enforced for alternate work sites.
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Risk Assessment (RA)

Level 2 RA Practices

RA.L2-3.11.1 – RISK ASSESSMENTS

SECURITY REQUIREMENT

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.

ASSESSMENT OBJECTIVES
[a] the frequency to assess risk to organizational operations, organizational assets, and

individuals is defined; and

[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.

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RA.L2-3.11.2 – VULNERABILITY SCAN

SECURITY REQUIREMENT

Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified.

ASSESSMENT OBJECTIVES
[a] the frequency to scan for vulnerabilities in organizational systems and applications is

defined;

[b] vulnerability scans are performed on organizational systems with the defined

frequency;

[c] vulnerability scans are performed on applications with the defined frequency;
[d] vulnerability scans are performed on organizational systems when new vulnerabilities

are identified; and

[e] vulnerability scans are performed on applications when new vulnerabilities are

identified.

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RA.L2-3.11.3 – VULNERABILITY REMEDIATION

SECURITY REQUIREMENT

Remediate vulnerabilities in accordance with risk assessments.

ASSESSMENT OBJECTIVES
[a] vulnerabilities are identified; and
[b] vulnerabilities are remediated in accordance with risk assessments.
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Security Assessment (CA)

Level 2 CA Practices

CA.L2-3.12.1 – SECURITY CONTROL ASSESSMENT

SECURITY REQUIREMENT

Periodically assess the security controls in organizational systems to determine if the controls are effective in their application.

ASSESSMENT OBJECTIVES
[a] the frequency of security control assessments is defined; and
[b] security controls are assessed with the defined frequency to determine if the controls

are effective in their application.

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CA.L2-3.12.2 – PLAN OF ACTION

SECURITY REQUIREMENT

Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems.

ASSESSMENT OBJECTIVES
[a] deficiencies and vulnerabilities to be addressed by the plan of action are identified;
[b] a plan of action is developed to correct identified deficiencies and reduce or eliminate

identified vulnerabilities; and

[c] the plan of action is implemented to correct identified deficiencies and reduce or

eliminate identified vulnerabilities.

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CA.L2-3.12.3 – SECURITY CONTROL MONITORING

SECURITY REQUIREMENT

Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls.

ASSESSMENT OBJECTIVES
[a] security controls are monitored on an ongoing basis to ensure the continued

effectiveness of those controls.

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CA.L2-3.12.4 – SYSTEM SECURITY PLAN

SECURITY REQUIREMENT

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
[a] a system security plan is developed;
[b] the system boundary is described and documented in the system security plan;
[c] the system environment of operation is described and documented in the system

security plan;

[d] the security requirements identified and approved by the designated authority as

non-applicable are identified;

[e] the method of security requirement implementation is described and documented in

the system security plan;

[f] the relationship with or connection to other systems is described and documented in

the system security plan;

[g] the frequency to update the system security plan is defined; and
[h] system security plan is updated with the defined frequency.
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System and Communications Protection (SC)

Level 1 SC Practices

SC.L1-3.13.1 – BOUNDARY PROTECTION

SECURITY REQUIREMENT

Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational information systems) at the external boundaries and key internal boundaries of the information systems.

ASSESSMENT OBJECTIVES
[a] the external system boundary is defined;
[b] key internal system boundaries are defined;
[c] communications are monitored at the external system boundary;
[d] communications are monitored at key internal boundaries;
[e] communications are controlled at the external system boundary;
[f] communications are controlled at key internal boundaries;
[g] communications are protected at the external system boundary; and
[h] communications are protected at key internal boundaries.
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SC.L1-3.13.5 – PUBLIC-ACCESS SYSTEM SEPARATION

SECURITY REQUIREMENT

Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.

ASSESSMENT OBJECTIVES
[a] publicly accessible system components are identified; and
[b] subnetworks for publicly accessible system components are physically or logically

separated from internal networks.

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Level 2 SC Practices

SC.L2-3.13.2 – SECURITY ENGINEERING

SECURITY REQUIREMENT

Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems.

ASSESSMENT OBJECTIVES
[a] architectural designs that promote effective information security are identified;
[b] software development techniques that promote effective information security are

identified;

[c] systems engineering principles that promote effective information security are

identified;

[d] identified architectural designs that promote effective information security are

employed;

[e] identified software development techniques that promote effective information

security are employed; and

[f] identified systems engineering principles that promote effective information security

are employed.

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SC.L2-3.13.3 – ROLE SEPARATION

SECURITY REQUIREMENT

Separate user functionality from system management functionality.

ASSESSMENT OBJECTIVES
[a] user functionality is identified;
[b] system management functionality is identified; and
[c] user functionality is separated from system management functionality.
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SC.L2-3.13.4 – SHARED RESOURCE CONTROL

SECURITY REQUIREMENT

Prevent unauthorized and unintended information transfer via shared system resources.ASSESSMENT OBJECTIVES

[a] unauthorized and unintended information transfer via shared system resources is

prevented.

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SC.L2-3.13.6 – NETWORK COMMUNICATION BY EXCEPTION

SECURITY REQUIREMENT

Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception).

ASSESSMENT OBJECTIVES
[a] network communications traffic is denied by default; and
[b] network communications traffic is allowed by exception.
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SC.L2-3.13.7 – SPLIT TUNNELING

SECURITY REQUIREMENT

Prevent remote devices from simultaneously establishing non-remote connections with organizational systems and communicating via some other connection to resources in external networks (i.e., split tunneling).

ASSESSMENT OBJECTIVES
[a] remote devices are prevented from simultaneously establishing non-remote

connections with the system and communicating via some other connection to resources in external networks (i.e., split tunneling).

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SC.L2-3.13.8 – DATA IN TRANSIT

SECURITY REQUIREMENT

Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards.

ASSESSMENT OBJECTIVES
[a] cryptographic mechanisms intended to prevent unauthorized disclosure of CUI are

identified;

[b] alternative physical safeguards intended to prevent unauthorized disclosure of CUI are

identified; and

[c] either cryptographic mechanisms or alternative physical safeguards are implemented

to prevent unauthorized disclosure of CUI during transmission.

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SC.L2-3.13.9 – CONNECTIONS TERMINATION

SECURITY REQUIREMENT

Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity.

ASSESSMENT OBJECTIVES
[a] a period of inactivity to terminate network connections associated with

communications sessions is defined;

[b] network connections associated with communications sessions are terminated at the

end of the sessions; and

[c] network connections associated with communications sessions are terminated after the

defined period of inactivity.

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SC.L2-3.13.10 – KEY MANAGEMENT

SECURITY REQUIREMENT

Establish and manage cryptographic keys for cryptography employed in organizational systems.

ASSESSMENT OBJECTIVES
[a] cryptographic keys are established whenever cryptography is employed; and
[b] cryptographic keys are managed whenever cryptography is employed.
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SC.L2-3.13.11 – CUI ENCRYPTION

SECURITY REQUIREMENT

Employ FIPS-validated cryptography when used to protect the confidentiality of CUI.ASSESSMENT OBJECTIVES

[a] FIPS-validated cryptography is employed to protect the confidentiality of CUI.
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SC.L2-3.13.12 – COLLABORATIVE DEVICE CONTROL

SECURITY REQUIREMENT

Prohibit remote activation of collaborative computing devices and provide indication of devices in use to users present at the device.

ASSESSMENT OBJECTIVES
[a] collaborative computing devices are identified;
[b] collaborative computing devices provide indication to users of devices in use; and
[c] remote activation of collaborative computing devices is prohibited.
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SC.L2-3.13.13 – MOBILE CODE

SECURITY REQUIREMENT

Control and monitor the use of mobile code.

ASSESSMENT OBJECTIVES
[a] use of mobile code is controlled; and
[b] use of mobile code is monitored.
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SC.L2-3.13.14 – VOICE OVER INTERNET PROTOCOL

SECURITY REQUIREMENT

Control and monitor the use of Voice over Internet Protocol (VoIP) technologies.ASSESSMENT OBJECTIVES

[a] use of Voice over Internet Protocol (VoIP) technologies is controlled; and
[b] use of Voice over Internet Protocol (VoIP) technologies is monitored.
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SC.L2-3.13.15 – COMMUNICATIONS AUTHENTICITY

SECURITY REQUIREMENT

Protect the authenticity of communications sessions.

ASSESSMENT OBJECTIVES
[a] the authenticity of communications sessions is protected.
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SC.L2-3.13.16 – DATA AT REST

SECURITY REQUIREMENT

Protect the confidentiality of CUI at rest.

ASSESSMENT OBJECTIVES
[a] the confidentiality of CUI at rest is protected.
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System and Information Integrity (SI)

Level 1 SI Practices

SI.L1-3.14.1 – FLAW REMEDIATION

SECURITY REQUIREMENT

Identify, report, and correct information and information system flaws in a timely manner.ASSESSMENT OBJECTIVES

[a] the time within which to identify system flaws is specified;
[b] system flaws are identified within the specified time frame;
[c] the time within which to report system flaws is specified;
[d] system flaws are reported within the specified time frame;
[e] the time within which to correct system flaws is specified; and
[f] system flaws are corrected within the specified time frame.
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SI.L1-3.14.2 – MALICIOUS CODE PROTECTION

SECURITY REQUIREMENT

Provide protection from malicious code at appropriate locations within organizational information systems.

ASSESSMENT OBJECTIVES
[a] designated locations for malicious code protection are identified; and
[b] protection from malicious code at designated locations is provided.
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SI.L1-3.14.4 – UPDATE MALICIOUS CODE PROTECTION

SECURITY REQUIREMENT

Update malicious code protection mechanisms when new releases are available.ASSESSMENT OBJECTIVES

[a] malicious code protection mechanisms are updated when new releases are available.
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SI.L1-3.14.5 – SYSTEM & FILE SCANNING

SECURITY REQUIREMENT

Perform periodic scans of the information system and real-time scans of files from external sources as files are downloaded, opened, or executed.

ASSESSMENT OBJECTIVES
[a] the frequency for malicious code scans is defined;
[b] malicious code scans are performed with the defined frequency; and
[c] real-time malicious code scans of files from external sources as files are downloaded,

opened, or executed are performed.

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Level 2 SI Practices

SI.L2-3.14.3 – SECURITY ALERTS & ADVISORIES

SECURITY REQUIREMENT

Monitor system security alerts and advisories and take action in response.

ASSESSMENT OBJECTIVES
[a] response actions to system security alerts and advisories are identified;
[b] system security alerts and advisories are monitored; and
[c] actions in response to system security alerts and advisories are taken.
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SI.L2-3.14.6 – MONITOR COMMUNICATIONS FOR ATTACKS

SECURITY REQUIREMENT

Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks.

ASSESSMENT OBJECTIVES
[a] the system is monitored to detect attacks and indicators of potential attacks;
[b] inbound communications traffic is monitored to detect attacks and indicators of

potential attacks; and

[c] outbound communications traffic is monitored to detect attacks and indicators of

potential attacks.

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SI.L2-3.14.7 – IDENTIFY UNAUTHORIZED USE

SECURITY REQUIREMENT

Identify unauthorized use of organizational systems.

ASSESSMENT OBJECTIVES
[a] authorized use of the system is defined; and
[b] unauthorized use of the system is identified.
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