Mitre-COSA_Dump.sql

CREATE DATABASE  IF NOT EXISTS `mitre-cosa` /*!40100 DEFAULT CHARACTER SET utf8 */;
USE `mitre-cosa`;
-- MySQL dump 10.13  Distrib 5.7.17, for macos10.12 (x86_64)
--
-- Host: localhost    Database: mitre-cosa
-- ------------------------------------------------------
-- Server version	5.6.39

/*!40101 SET @OLD_CHARACTER_SET_CLIENT=@@CHARACTER_SET_CLIENT */;
/*!40101 SET @OLD_CHARACTER_SET_RESULTS=@@CHARACTER_SET_RESULTS */;
/*!40101 SET @OLD_COLLATION_CONNECTION=@@COLLATION_CONNECTION */;
/*!40101 SET NAMES utf8 */;
/*!40103 SET @OLD_TIME_ZONE=@@TIME_ZONE */;
/*!40103 SET TIME_ZONE='+00:00' */;
/*!40014 SET @OLD_UNIQUE_CHECKS=@@UNIQUE_CHECKS, UNIQUE_CHECKS=0 */;
/*!40014 SET @OLD_FOREIGN_KEY_CHECKS=@@FOREIGN_KEY_CHECKS, FOREIGN_KEY_CHECKS=0 */;
/*!40101 SET @OLD_SQL_MODE=@@SQL_MODE, SQL_MODE='NO_AUTO_VALUE_ON_ZERO' */;
/*!40111 SET @OLD_SQL_NOTES=@@SQL_NOTES, SQL_NOTES=0 */;

--
-- Temporary view structure for view `all_compliance_counts`
--

DROP TABLE IF EXISTS `all_compliance_counts`;
/*!50001 DROP VIEW IF EXISTS `all_compliance_counts`*/;
SET @saved_cs_client     = @@character_set_client;
SET character_set_client = utf8;
/*!50001 CREATE VIEW `all_compliance_counts` AS SELECT 
 1 AS `SYSTEM`,
 1 AS `PK_SYSTEM_ID`,
 1 AS `totalPassed`,
 1 AS `totalFailed`,
 1 AS `totalIncomplete`,
 1 AS `totalAccepted`*/;
SET character_set_client = @saved_cs_client;

--
-- Temporary view structure for view `all_findings`
--

DROP TABLE IF EXISTS `all_findings`;
/*!50001 DROP VIEW IF EXISTS `all_findings`*/;
SET @saved_cs_client     = @@character_set_client;
SET character_set_client = utf8;
/*!50001 CREATE VIEW `all_findings` AS SELECT 
 1 AS `PK_WORK_ITEM_RESULT_ID`,
 1 AS `FK_SYSTEM_CONTROL_TEST_ID`,
 1 AS `CONTROL_ITEM`,
 1 AS `TEST_TITLE`,
 1 AS `DESCRIPTION`,
 1 AS `FK_ROLE_ID`,
 1 AS `IS_MANUAL`,
 1 AS `PROCEDURE_TYPE`,
 1 AS `PK_SECURITY_CONTROL_ID`,
 1 AS `CONTROL`,
 1 AS `TITLE`,
 1 AS `FAMILY`,
 1 AS `CONTROL_DESC`,
 1 AS `PK_SYSTEM_ID`,
 1 AS `SYSTEM`,
 1 AS `ACTIVE`,
 1 AS `IS_REMOTE`,
 1 AS `CATEGORIZATION`,
 1 AS `DEPENDS_ON_SYSTEM`,
 1 AS `FK_WORK_ITEM_STATUS_ID`,
 1 AS `STATUS`,
 1 AS `RESULT_DESC`,
 1 AS `MODIFIED_DATE`,
 1 AS `EXPIRATION_DATE`,
 1 AS `FORWARD_TO_ROLE_ID`,
 1 AS `ROLE_NAME`,
 1 AS `UPDATED_BY`,
 1 AS `REPEAT_FINDING_RAW`,
 1 AS `REPEAT_FINDING`,
 1 AS `REPEAT_FINDING_COSA_WEAKNESS_ID`,
 1 AS `FINDING_TITLE`,
 1 AS `FINDING_DESCRIPTION`,
 1 AS `WEAKNESS_DESCRIPTION`,
 1 AS `FK_CONTROL_WEAKNESS_TYPE_ID`,
 1 AS `WEAKNESS`,
 1 AS `RECOMMENDED_CORRECTIVE_ACTIONS`,
 1 AS `EFFECT_ON_BUSINESS`,
 1 AS `FK_IMPACT_ID`,
 1 AS `COMPONENT_NAME`,
 1 AS `PRODUCT_NAME`,
 1 AS `IMPACT`,
 1 AS `FK_LIKELIHOOD_ID`,
 1 AS `LIKELIHOOD`,
 1 AS `REMEDIATION_DATE`*/;
SET character_set_client = @saved_cs_client;

--
-- Temporary view structure for view `all_history`
--

DROP TABLE IF EXISTS `all_history`;
/*!50001 DROP VIEW IF EXISTS `all_history`*/;
SET @saved_cs_client     = @@character_set_client;
SET character_set_client = utf8;
/*!50001 CREATE VIEW `all_history` AS SELECT 
 1 AS `PK_WORK_ITEM_RESULT_HISTORY_ID`,
 1 AS `WORK_ITEM_RESULT_ID`,
 1 AS `SYSTEM_CONTROL_TEST_ID`,
 1 AS `WORK_ITEM_STATUS_ID`,
 1 AS `RESULT_DESC`,
 1 AS `MODIFIED_DATE`,
 1 AS `EXPIRATION_DATE`,
 1 AS `FORWARD_TO_ROLE_ID`,
 1 AS `SECURITY_CONTROL_NAME`,
 1 AS `SYSTEM_CONTROL_TEST_CONTROL_ITEM`,
 1 AS `SYSTEM_NAME`,
 1 AS `WORK_ITEM_STATUS_DEFAULT_NAME`,
 1 AS `AUTO_EVIDENCE`,
 1 AS `GATHERED_EVIDENCE`,
 1 AS `PROCEDURE_TYPE_ID`,
 1 AS `PROCEDURE_TYPE_NAME`,
 1 AS `PROCEDURE_TYPE_COMMAND_TO_EXECUTE`,
 1 AS `SYSTEM_ROLES_DEFAULT_NAME`,
 1 AS `ACTION_PERFORMED`,
 1 AS `CHANGED_BY`,
 1 AS `CHANGED_ON`,
 1 AS `REPEAT_FINDING`,
 1 AS `REPEAT_FINDING_COSA_WEAKNESS_ID`,
 1 AS `FINDING_TITLE`,
 1 AS `FINDING_DESCRIPTION`,
 1 AS `WEAKNESS_DESCRIPTION`,
 1 AS `CONTROL_WEAKNESS_TYPE_ID`,
 1 AS `CONTROL_WEAKNESS_TYPE`,
 1 AS `RECOMMENDED_CORRECTIVE_ACTIONS`,
 1 AS `EFFECT_ON_BUSINESS`,
 1 AS `LIKELIHOOD_ID`,
 1 AS `LIKELIHOOD`,
 1 AS `IMPACT_ID`,
 1 AS `IMPACT`,
 1 AS `REMEDIATION_DATE`*/;
SET character_set_client = @saved_cs_client;

--
-- Temporary view structure for view `all_items`
--

DROP TABLE IF EXISTS `all_items`;
/*!50001 DROP VIEW IF EXISTS `all_items`*/;
SET @saved_cs_client     = @@character_set_client;
SET character_set_client = utf8;
/*!50001 CREATE VIEW `all_items` AS SELECT 
 1 AS `PK_SYSTEM_CONTROL_TEST_ID`,
 1 AS `FK_SYSTEM_ID`,
 1 AS `SYSTEM_NAME`,
 1 AS `FK_CATEGORIZATION_ID`,
 1 AS `CATEGORIZATION_NAME`,
 1 AS `TEST_TITLE`,
 1 AS `FK_SECURITY_CONTROL_ID`,
 1 AS `SECURITY_CONTROL_NAME`,
 1 AS `SECURITY_CONTROL_BASELINE`,
 1 AS `FK_PROCEDURE_TYPE_ID`,
 1 AS `PROCEDURE_NAME`,
 1 AS `FK_ROLE_ID`,
 1 AS `ROLE_NAME`,
 1 AS `CONTROL_ITEM`,
 1 AS `SECURITY_CONTROL_TITLE`,
 1 AS `SECURITY_CONTROL_DESC`,
 1 AS `ITEM_DESC`,
 1 AS `FREQUENCY`,
 1 AS `AUTO_EVIDENCE`,
 1 AS `GATHERED_EVIDENCE`,
 1 AS `RUNTIME_CHECK`,
 1 AS `APPLICABLE`,
 1 AS `DEPENDS_ON_SYSTEM_ID`,
 1 AS `INHERITED_FROM`,
 1 AS `CCI`,
 1 AS `HYBRID`,
 1 AS `IS_HYBRID`,
 1 AS `SOURCE_ENV`,
 1 AS `FK_SOURCE_ID`,
 1 AS `SOURCE_NAME`,
 1 AS `FK_TEST_METHOD_ID`,
 1 AS `METHOD_NAME`,
 1 AS `TEST_OBJECTIVE`,
 1 AS `RECOMMENDED_CORRECTIVE_ACTION`,
 1 AS `FK_COMPONENT_ID`,
 1 AS `COMPONENT_TYPE_NAME`,
 1 AS `COMPONENT_PRODUCT_NAME`,
 1 AS `FK_SCOPE_ID`,
 1 AS `SCOPE_NAME`,
 1 AS `MANUAL`,
 1 AS `IS_MANUAL`,
 1 AS `INHERITABLE`,
 1 AS `IS_INHERITABLE`,
 1 AS `RISK_ACCEPTED`,
 1 AS `IS_RISK_ACCEPTED`,
 1 AS `MODIFIED_DATE`,
 1 AS `BASELINE_DATE`,
 1 AS `FK_CATALOG_ID`,
 1 AS `CATALOG_NAME`,
 1 AS `BASELINE_TEST_ID`,
 1 AS `FK_STAGE_ID`,
 1 AS `STAGE_NAME`,
 1 AS `PII_ONLY`,
 1 AS `RATIONALE`,
 1 AS `TEST_FK_CATEGORIZATION_ID`,
 1 AS `TEST_CATEGORIZATION_NAME`*/;
SET character_set_client = @saved_cs_client;

--
-- Table structure for table `capabilities`
--

DROP TABLE IF EXISTS `capabilities`;
/*!40101 SET @saved_cs_client     = @@character_set_client */;
/*!40101 SET character_set_client = utf8 */;
CREATE TABLE `capabilities` (
  `PK_CAPABILITY_ID` int(11) NOT NULL AUTO_INCREMENT,
  `NAME` varchar(45) NOT NULL,
  `SUB_CAPABILITY_NAME` varchar(45) NOT NULL,
  `SECURITY_CONTROL_NAME` varchar(45) NOT NULL,
  `DESCRIPTION` longtext NOT NULL,
  PRIMARY KEY (`PK_CAPABILITY_ID`)
) ENGINE=InnoDB AUTO_INCREMENT=1881 DEFAULT CHARSET=utf8;
/*!40101 SET character_set_client = @saved_cs_client */;

--
-- Dumping data for table `capabilities`
--

LOCK TABLES `capabilities` WRITE;
/*!40000 ALTER TABLE `capabilities` DISABLE KEYS */;
INSERT INTO `capabilities` VALUES (1,'BEHAVE','BEHAVE-01','AC-22','Validate training policies'),(2,'BEHAVE','BEHAVE-01','AT-01','Validate training policies'),(3,'BEHAVE','BEHAVE-01','AT-02','Validate training policies'),(4,'BEHAVE','BEHAVE-01','AT-02(02)','Validate training policies'),(5,'BEHAVE','BEHAVE-01','IR-06','Validate training policies'),(6,'BEHAVE','BEHAVE-02','AC-02','Make training reports available'),(7,'BEHAVE','BEHAVE-02','AC-02(01)','Make training reports available'),(8,'BEHAVE','BEHAVE-02','AC-16','Make training reports available'),(9,'BEHAVE','BEHAVE-02','AC-16(03)','Make training reports available'),(10,'BEHAVE','BEHAVE-02','AT-02(02)','Make training reports available'),(11,'BEHAVE','BEHAVE-02','AT-04','Make training reports available'),(12,'BEHAVE','BEHAVE-02','CP-03','Make training reports available'),(13,'BEHAVE','BEHAVE-02','IR-02','Make training reports available'),(14,'BEHAVE','BEHAVE-02','AR-05','Make training reports available'),(15,'BEHAVE','BEHAVE-03','AT-02','Collect training data'),(16,'BEHAVE','BEHAVE-03','AT-02(02)','Collect training data'),(17,'BEHAVE','BEHAVE-03','AT-04','Collect training data'),(18,'BEHAVE','BEHAVE-03','CP-03','Collect training data'),(19,'BEHAVE','BEHAVE-03','CP-08(04)','Collect training data'),(20,'BEHAVE','BEHAVE-03','IR-02','Collect training data'),(21,'BEHAVE','BEHAVE-03','PS-06','Collect training data'),(22,'BEHAVE','BEHAVE-03','PS-07','Collect training data'),(23,'BEHAVE','BEHAVE-03','AR-05','Collect training data'),(24,'BEHAVE','BEHAVE-04','AC-09','Provide BEHAVE attributes at time of authorization'),(25,'BEHAVE','BEHAVE-04','AC-16','Provide BEHAVE attributes at time of authorization'),(26,'BEHAVE','BEHAVE-04','AC-16(03)','Provide BEHAVE attributes at time of authorization'),(27,'BEHAVE','BEHAVE-04','PS-06','Provide BEHAVE attributes at time of authorization'),(28,'BEHAVE','BEHAVE-04','PS-07','Provide BEHAVE attributes at time of authorization'),(29,'BEHAVE','BEHAVE-05','AC-02(01)','Use automated security checks'),(30,'BEHAVE','BEHAVE-05','AC-09','Use automated security checks'),(31,'BEHAVE','BEHAVE-05','AC-16','Use automated security checks'),(32,'BEHAVE','BEHAVE-05','AC-16(03)','Use automated security checks'),(33,'BEHAVE','BEHAVE-05','IR-02(02)','Use automated security checks'),(34,'BEHAVE','BEHAVE-06','AC-02(01)','Collect and report BEHAVE information'),(35,'BEHAVE','BEHAVE-06','AC-09','Collect and report BEHAVE information'),(36,'BEHAVE','BEHAVE-06','AT-02','Collect and report BEHAVE information'),(37,'BEHAVE','BEHAVE-06','AT-02(02)','Collect and report BEHAVE information'),(38,'BEHAVE','BEHAVE-06','AT-03','Collect and report BEHAVE information'),(39,'BEHAVE','BEHAVE-06','AT-04','Collect and report BEHAVE information'),(40,'BEHAVE','BEHAVE-06','CP-03','Collect and report BEHAVE information'),(41,'BEHAVE','BEHAVE-06','PL-04','Collect and report BEHAVE information'),(42,'BEHAVE','BEHAVE-06','PL-04(01)','Collect and report BEHAVE information'),(43,'BEHAVE','BEHAVE-06','PS-07','Collect and report BEHAVE information'),(44,'BEHAVE','BEHAVE-06','AR-05','Collect and report BEHAVE information'),(45,'BEHAVE','BEHAVE-07','AT-02','Detect and report requirements failure'),(46,'BEHAVE','BEHAVE-07','AT-03','Detect and report requirements failure'),(47,'BEHAVE','BEHAVE-07','AT-04','Detect and report requirements failure'),(48,'BEHAVE','BEHAVE-07','CP-03','Detect and report requirements failure'),(49,'BEHAVE','BEHAVE-07','CP-08(04)','Detect and report requirements failure'),(50,'BEHAVE','BEHAVE-07','PL-04','Detect and report requirements failure'),(51,'BEHAVE','BEHAVE-07','PS-06','Detect and report requirements failure'),(52,'BEHAVE','BEHAVE-07','PS-07','Detect and report requirements failure'),(53,'BEHAVE','BEHAVE-07','PS-08','Detect and report requirements failure'),(54,'BEHAVE','BEHAVE-07','AR-05','Detect and report requirements failure'),(55,'BEHAVE','BEHAVE-08','AC-09','Ensure insider threat training'),(56,'BEHAVE','BEHAVE-08','AT-02(02)','Ensure insider threat training'),(57,'BEHAVE','BEHAVE-09','CP-03','Ensure contingency planning training'),(58,'BEHAVE','BEHAVE-09','CP-03(01)','Ensure contingency planning training'),(59,'BEHAVE','BEHAVE-09','CP-08(04)','Ensure contingency planning training'),(60,'BEHAVE','BEHAVE-10','IR-02','Ensure incident response training'),(61,'BEHAVE','BEHAVE-10','IR-02(01)','Ensure incident response training'),(62,'BEHAVE','BEHAVE-10','IR-02(02)','Ensure incident response training'),(63,'BEHAVE','BEHAVE-10','IR-09(02)','Ensure incident response training'),(64,'BEHAVE','BEHAVE-10','IR-09(04)','Ensure incident response training'),(65,'BEHAVE','BEHAVE-11','AC-02(05)','Ensure rules of behavior'),(66,'BEHAVE','BEHAVE-11','AC-02(11)','Ensure rules of behavior'),(67,'BEHAVE','BEHAVE-11','AC-08','Ensure rules of behavior'),(68,'BEHAVE','BEHAVE-11','AC-09(01)','Ensure rules of behavior'),(69,'BEHAVE','BEHAVE-11','PL-04','Ensure rules of behavior'),(70,'BEHAVE','BEHAVE-11','PL-04(01)','Ensure rules of behavior'),(71,'BEHAVE','BEHAVE-12','PS-06','Ensure access agreements'),(72,'BEHAVE','BEHAVE-13','PS-07','Ensure inclusion of third party personnel'),(73,'BEHAVE','BEHAVE-14','PS-08','Ensure sanctions for BEHAVE violations'),(74,'BEHAVE','BEHAVE-15','SA-16','Ensure developer training'),(75,'BEHAVE','BEHAVE-16','PM-13','Ensure information security workforce development'),(76,'BEHAVE','BEHAVE-17','AR-05','Ensure privacy awareness and training'),(77,'BOUND-N','BOUNDN-01','AC-04','Collect and Report Inventory of Network Boundaries'),(78,'BOUND-N','BOUNDN-01','AC-17(03)','Collect and Report Inventory of Network Boundaries'),(79,'BOUND-N','BOUNDN-01','AC-18','Collect and Report Inventory of Network Boundaries'),(80,'BOUND-N','BOUNDN-01','AC-19','Collect and Report Inventory of Network Boundaries'),(81,'BOUND-N','BOUNDN-01','CA-03','Collect and Report Inventory of Network Boundaries'),(82,'BOUND-N','BOUNDN-01','CA-03(03)','Collect and Report Inventory of Network Boundaries'),(83,'BOUND-N','BOUNDN-01','CA-03(05)','Collect and Report Inventory of Network Boundaries'),(84,'BOUND-N','BOUNDN-01','CA-09','Collect and Report Inventory of Network Boundaries'),(85,'BOUND-N','BOUNDN-01','CA-09(01)','Collect and Report Inventory of Network Boundaries'),(86,'BOUND-N','BOUNDN-01','SA-09','Collect and Report Inventory of Network Boundaries'),(87,'BOUND-N','BOUNDN-01','SC-05','Collect and Report Inventory of Network Boundaries'),(88,'BOUND-N','BOUNDN-01','SC-07','Collect and Report Inventory of Network Boundaries'),(89,'BOUND-N','BOUNDN-01','SC-07(03)','Collect and Report Inventory of Network Boundaries'),(90,'BOUND-N','BOUNDN-01','SC-07(07)','Collect and Report Inventory of Network Boundaries'),(91,'BOUND-N','BOUNDN-01','SC-07(08)','Collect and Report Inventory of Network Boundaries'),(92,'BOUND-N','BOUNDN-01','SC-07(14)','Collect and Report Inventory of Network Boundaries'),(93,'BOUND-N','BOUNDN-01','SI-04','Collect and Report Inventory of Network Boundaries'),(94,'BOUND-N','BOUNDN-01','SI-04(01)','Collect and Report Inventory of Network Boundaries'),(95,'BOUND-N','BOUNDN-01','SI-04(04)','Collect and Report Inventory of Network Boundaries'),(96,'BOUND-N','BOUNDN-01','SI-04(14)','Collect and Report Inventory of Network Boundaries'),(97,'BOUND-N','BOUNDN-02','AC-04','Collect, Report, and Reauthorize Network Filtering Policies'),(98,'BOUND-N','BOUNDN-02','CA-03','Collect, Report, and Reauthorize Network Filtering Policies'),(99,'BOUND-N','BOUNDN-02','CA-03(03)','Collect, Report, and Reauthorize Network Filtering Policies'),(100,'BOUND-N','BOUNDN-02','CA-03(05)','Collect, Report, and Reauthorize Network Filtering Policies'),(101,'BOUND-N','BOUNDN-02','CA-09','Collect, Report, and Reauthorize Network Filtering Policies'),(102,'BOUND-N','BOUNDN-02','CA-09(01)','Collect, Report, and Reauthorize Network Filtering Policies'),(103,'BOUND-N','BOUNDN-02','CM-06','Collect, Report, and Reauthorize Network Filtering Policies'),(104,'BOUND-N','BOUNDN-02','CM-06(01)','Collect, Report, and Reauthorize Network Filtering Policies'),(105,'BOUND-N','BOUNDN-02','SA-09','Collect, Report, and Reauthorize Network Filtering Policies'),(106,'BOUND-N','BOUNDN-02','SA-09(02)','Collect, Report, and Reauthorize Network Filtering Policies'),(107,'BOUND-N','BOUNDN-02','SC-03','Collect, Report, and Reauthorize Network Filtering Policies'),(108,'BOUND-N','BOUNDN-02','SC-07','Collect, Report, and Reauthorize Network Filtering Policies'),(109,'BOUND-N','BOUNDN-02','SC-07(07)','Collect, Report, and Reauthorize Network Filtering Policies'),(110,'BOUND-N','BOUNDN-02','SC-07(08)','Collect, Report, and Reauthorize Network Filtering Policies'),(111,'BOUND-N','BOUNDN-02','SC-07(21)','Collect, Report, and Reauthorize Network Filtering Policies'),(112,'BOUND-N','BOUNDN-02','SC-18','Collect, Report, and Reauthorize Network Filtering Policies'),(113,'BOUND-N','BOUNDN-02','SC-20','Collect, Report, and Reauthorize Network Filtering Policies'),(114,'BOUND-N','BOUNDN-02','SC-21','Collect, Report, and Reauthorize Network Filtering Policies'),(115,'BOUND-N','BOUNDN-02','SI-04','Collect, Report, and Reauthorize Network Filtering Policies'),(116,'BOUND-N','BOUNDN-02','SI-04(01)','Collect, Report, and Reauthorize Network Filtering Policies'),(117,'BOUND-N','BOUNDN-02','SI-04(04)','Collect, Report, and Reauthorize Network Filtering Policies'),(118,'BOUND-N','BOUNDN-02','SI-04(14)','Collect, Report, and Reauthorize Network Filtering Policies'),(119,'BOUND-N','BOUNDN-03','AC-04','Collect, Report External Information Systems Services'),(120,'BOUND-N','BOUNDN-03','AC-04(17)','Collect, Report External Information Systems Services'),(121,'BOUND-N','BOUNDN-03','AC-18','Collect, Report External Information Systems Services'),(122,'BOUND-N','BOUNDN-03','AC-18(01)','Collect, Report External Information Systems 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Tool Functionality'),(222,'BOUND-N','BOUNDN-09','SC-21','Collect and Report Inventory of Network Filtering Devices and Tool Functionality'),(223,'BOUND-N','BOUNDN-09','SC-22','Collect and Report Inventory of Network Filtering Devices and Tool Functionality'),(224,'BOUND-N','BOUNDN-09','SC-23','Collect and Report Inventory of Network Filtering Devices and Tool Functionality'),(225,'BOUND-N','BOUNDN-09','SI-04','Collect and Report Inventory of Network Filtering Devices and Tool Functionality'),(226,'BOUND-N','BOUNDN-09','SI-04(24)','Collect and Report Inventory of Network Filtering Devices and Tool Functionality'),(227,'BOUND-N','BOUNDN-09','SI-08','Collect and Report Inventory of Network Filtering Devices and Tool Functionality'),(228,'BOUND-N','BOUNDN-09','SI-08(01)','Collect and Report Inventory of Network Filtering Devices and Tool Functionality'),(229,'BOUND-N','BOUNDN-09','SI-08(02)','Collect and Report Inventory of Network Filtering Devices and Tool Functionality'),(230,'BOUND-O','BOUNDO-01','AC-17(02)','Collect and Report deployed Cryptographic Schemes'),(231,'BOUND-O','BOUNDO-01','AC-17(09)','Collect and Report deployed Cryptographic Schemes'),(232,'BOUND-O','BOUNDO-01','AC-18(01)','Collect and Report deployed Cryptographic Schemes'),(233,'BOUND-O','BOUNDO-01','AC-19(05)','Collect and Report deployed Cryptographic Schemes'),(234,'BOUND-O','BOUNDO-01','SA-04(10)','Collect and Report deployed Cryptographic Schemes'),(235,'BOUND-O','BOUNDO-01','SC-12','Collect and Report deployed Cryptographic Schemes'),(236,'BOUND-O','BOUNDO-01','SC-12(01)','Collect and Report deployed Cryptographic Schemes'),(237,'BOUND-O','BOUNDO-01','SC-13','Collect and Report deployed Cryptographic Schemes'),(238,'BOUND-O','BOUNDO-01','SC-19','Collect and Report deployed Cryptographic Schemes'),(239,'BOUND-O','BOUNDO-01','SI-07(05)','Collect and Report deployed Cryptographic Schemes'),(240,'BOUND-O','BOUNDO-01','SI-07(06)','Collect and Report deployed 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monitoring.'),(263,'BOUND-P','BOUNDP-01','PE-02(01)','Integrate with IP-addressable PACS components needed to support monitoring.'),(264,'BOUND-P','BOUNDP-01','PE-03','Integrate with IP-addressable PACS components needed to support monitoring.'),(265,'BOUND-P','BOUNDP-01','PE-03(01)','Integrate with IP-addressable PACS components needed to support monitoring.'),(266,'BOUND-P','BOUNDP-01','PE-04','Integrate with IP-addressable PACS components needed to support monitoring.'),(267,'BOUND-P','BOUNDP-01','PE-05','Integrate with IP-addressable PACS components needed to support monitoring.'),(268,'BOUND-P','BOUNDP-01','PE-06','Integrate with IP-addressable PACS components needed to support monitoring.'),(269,'BOUND-P','BOUNDP-01','PE-06(01)','Integrate with IP-addressable PACS components needed to support monitoring.'),(270,'BOUND-P','BOUNDP-01','PE-06(04)','Integrate with IP-addressable PACS components needed to support monitoring.'),(271,'BOUND-P','BOUNDP-01','PE-08','Integrate with IP-addressable PACS components needed to support monitoring.'),(272,'BOUND-P','BOUNDP-01','PE-08(01)','Integrate with IP-addressable PACS components needed to support monitoring.'),(273,'BOUND-P','BOUNDP-01','PE-16','Integrate with IP-addressable PACS components needed to support monitoring.'),(274,'BOUND-P','BOUNDP-01','PE-17','Integrate with IP-addressable PACS components needed to support monitoring.'),(275,'BOUND-P','BOUNDP-01','PE-18','Integrate with IP-addressable PACS components needed to support monitoring.'),(276,'BOUND-P','BOUNDP-01','PE-18(01)','Integrate with IP-addressable PACS components needed to support monitoring.'),(277,'BOUND-P','BOUNDP-01','SC-32','Integrate with IP-addressable PACS components needed to support monitoring.'),(278,'BOUND-P','BOUNDP-02','IA-02','Collect and report physical boundary authentication records'),(279,'BOUND-P','BOUNDP-02','IA-08','Collect and report physical boundary authentication records'),(280,'BOUND-P','BOUNDP-02','MA-04','Collect and report physical boundary authentication records'),(281,'BOUND-P','BOUNDP-02','MA-04(01)','Collect and report physical boundary authentication records'),(282,'BOUND-P','BOUNDP-02','MA-05','Collect and report physical boundary authentication records'),(283,'BOUND-P','BOUNDP-02','MA-05(01)','Collect and report physical boundary authentication records'),(284,'BOUND-P','BOUNDP-02','PE-02','Collect and report physical boundary authentication records'),(285,'BOUND-P','BOUNDP-02','PE-02(01)','Collect and report physical boundary authentication records'),(286,'BOUND-P','BOUNDP-02','PE-03','Collect and report physical boundary authentication records'),(287,'BOUND-P','BOUNDP-02','PE-03(01)','Collect and report physical boundary authentication records'),(288,'BOUND-P','BOUNDP-02','PE-04','Collect and report physical boundary authentication records'),(289,'BOUND-P','BOUNDP-02','PE-05','Collect and report physical boundary authentication records'),(290,'BOUND-P','BOUNDP-02','PE-06','Collect and report physical boundary authentication records'),(291,'BOUND-P','BOUNDP-02','PE-06(01)','Collect and report physical boundary authentication records'),(292,'BOUND-P','BOUNDP-02','PE-06(04)','Collect and report physical boundary authentication records'),(293,'BOUND-P','BOUNDP-02','PE-08','Collect and report physical boundary authentication records'),(294,'BOUND-P','BOUNDP-02','PE-09','Collect and report physical boundary authentication records'),(295,'BOUND-P','BOUNDP-02','PE-16','Collect and report physical boundary authentication records'),(296,'BOUND-P','BOUNDP-02','PE-17','Collect and report physical boundary authentication records'),(297,'BOUND-P','BOUNDP-02','PE-18','Collect and report physical boundary authentication records'),(298,'BOUND-P','BOUNDP-02','PE-18(01)','Collect and report physical boundary authentication records'),(299,'BOUND-P','BOUNDP-02','PS-05','Collect and report physical boundary authentication records'),(300,'BOUND-P','BOUNDP-03','IA-01','Collect and report validation requirements for identification and authentication at physical boundaries '),(301,'BOUND-P','BOUNDP-03','MA-05','Collect and report validation requirements for identification and authentication at physical boundaries '),(302,'BOUND-P','BOUNDP-03','MA-05(01)','Collect and report validation requirements for identification and authentication at physical boundaries '),(303,'BOUND-P','BOUNDP-03','PE-02','Collect and report validation requirements for identification and authentication at physical boundaries '),(304,'BOUND-P','BOUNDP-03','PE-02(01)','Collect and report validation requirements for identification and authentication at physical boundaries '),(305,'BOUND-P','BOUNDP-03','PE-03','Collect and report validation requirements for identification and authentication at physical boundaries '),(306,'BOUND-P','BOUNDP-03','PE-03(01)','Collect and report validation requirements for identification and authentication at physical boundaries '),(307,'BOUND-P','BOUNDP-03','PE-06','Collect and report validation requirements for identification and authentication at physical boundaries '),(308,'BOUND-P','BOUNDP-03','PE-06(01)','Collect and report validation requirements for identification and authentication at physical boundaries '),(309,'BOUND-P','BOUNDP-03','PE-06(04)','Collect and report validation requirements for identification and authentication at physical boundaries '),(310,'BOUND-P','BOUNDP-03','PE-08','Collect and report validation requirements for identification and authentication at physical boundaries '),(311,'BOUND-P','BOUNDP-03','PE-09','Collect and report validation requirements for identification and authentication at physical boundaries '),(312,'BOUND-P','BOUNDP-03','PE-16','Collect and report validation requirements for identification and authentication at physical boundaries '),(313,'BOUND-P','BOUNDP-03','PE-17','Collect and report validation requirements for identification and authentication at physical boundaries '),(314,'BOUND-P','BOUNDP-03','PE-18','Collect and report validation requirements for identification and authentication at physical boundaries '),(315,'BOUND-P','BOUNDP-03','PE-18(01)','Collect and report validation requirements for identification and authentication at physical boundaries '),(316,'BOUND-P','BOUNDP-03','SC-07(14)','Collect and report validation requirements for identification and authentication at physical boundaries '),(317,'BOUND-P','BOUNDP-04','IA-02','Collect and report physical boundary authorization records'),(318,'BOUND-P','BOUNDP-04','IA-08','Collect and report physical boundary authorization records'),(319,'BOUND-P','BOUNDP-04','MA-04','Collect and report physical boundary authorization records'),(320,'BOUND-P','BOUNDP-04','MA-04(01)','Collect and report physical boundary authorization records'),(321,'BOUND-P','BOUNDP-04','MA-05','Collect and report physical boundary authorization records'),(322,'BOUND-P','BOUNDP-04','MA-05(01)','Collect and report physical boundary authorization records'),(323,'BOUND-P','BOUNDP-04','PE-02','Collect and report physical boundary authorization records'),(324,'BOUND-P','BOUNDP-04','PE-02(01)','Collect and report physical boundary authorization records'),(325,'BOUND-P','BOUNDP-04','PE-03','Collect and report physical boundary authorization records'),(326,'BOUND-P','BOUNDP-04','PE-03(01)','Collect and report physical boundary authorization records'),(327,'BOUND-P','BOUNDP-04','PE-04','Collect and report physical boundary authorization records'),(328,'BOUND-P','BOUNDP-04','PE-05','Collect and report physical boundary authorization records'),(329,'BOUND-P','BOUNDP-04','PE-06','Collect and report physical boundary authorization records'),(330,'BOUND-P','BOUNDP-04','PE-06(01)','Collect and report physical boundary authorization records'),(331,'BOUND-P','BOUNDP-04','PE-06(04)','Collect and report physical boundary authorization records'),(332,'BOUND-P','BOUNDP-04','PE-08','Collect and report physical boundary authorization records'),(333,'BOUND-P','BOUNDP-04','PE-09','Collect and report physical boundary authorization records'),(334,'BOUND-P','BOUNDP-04','PE-16','Collect and report physical boundary authorization records'),(335,'BOUND-P','BOUNDP-04','PE-17','Collect and report physical boundary authorization records'),(336,'BOUND-P','BOUNDP-04','PE-18','Collect and report physical boundary authorization records'),(337,'BOUND-P','BOUNDP-04','PE-18(01)','Collect and report physical boundary authorization records'),(338,'BOUND-P','BOUNDP-04','PS-05','Collect and report physical boundary authorization records'),(339,'BOUND-P','BOUNDP-06','CP-06','Ensure environmental sensors are working properly.'),(340,'BOUND-P','BOUNDP-06','CP-07','Ensure environmental sensors are working properly.'),(341,'BOUND-P','BOUNDP-06','CP-07(04)','Ensure environmental sensors are working properly.'),(342,'BOUND-P','BOUNDP-06','PE-09','Ensure environmental sensors are working properly.'),(343,'BOUND-P','BOUNDP-06','PE-14','Ensure environmental sensors are working properly.'),(344,'BOUND-P','BOUNDP-06','CP-06','Emergency fire and water systems are working properly.'),(345,'BOUND-P','BOUNDP-06','CP-07','Emergency fire and water systems are working properly.'),(346,'BOUND-P','BOUNDP-06','CP-07(04)','Emergency fire and water systems are working properly.'),(347,'BOUND-P','BOUNDP-06','PE-13','Emergency fire and water systems are working properly.'),(348,'BOUND-P','BOUNDP-06','PE-13(01)','Emergency fire and water systems are working properly.'),(349,'BOUND-P','BOUNDP-06','PE-13(02)','Emergency fire and water systems are working properly.'),(350,'BOUND-P','BOUNDP-06','PE-13(03)','Emergency fire and water systems are working properly.'),(351,'BOUND-P','BOUNDP-06','PE-15','Emergency fire and water systems are working properly.'),(352,'BOUND-P','BOUNDP-06','PE-15(01)','Emergency fire and water systems are working properly.'),(353,'CRED','CRED-01','AC-06(03)','Prevent users from unauthorized access'),(354,'CRED','CRED-01','AC-06(10)','Prevent users from unauthorized access'),(355,'CRED','CRED-01','AC-14','Prevent users from unauthorized access'),(356,'CRED','CRED-01','AC-16','Prevent users from unauthorized access'),(357,'CRED','CRED-01','AC-18(01)','Prevent users from unauthorized access'),(358,'CRED','CRED-01','IA-02','Prevent users from unauthorized access'),(359,'CRED','CRED-01','IA-02(01)','Prevent users from unauthorized access'),(360,'CRED','CRED-01','IA-02(02)','Prevent users from unauthorized access'),(361,'CRED','CRED-01','IA-02(03)','Prevent users from unauthorized access'),(362,'CRED','CRED-01','IA-02(04)','Prevent users from unauthorized access'),(363,'CRED','CRED-01','IA-02(06)','Prevent users from unauthorized access'),(364,'CRED','CRED-01','IA-02(07)','Prevent users from unauthorized access'),(365,'CRED','CRED-01','IA-02(08)','Prevent users from unauthorized access'),(366,'CRED','CRED-01','IA-02(09)','Prevent users from unauthorized access'),(367,'CRED','CRED-01','IA-02(11)','Prevent users from unauthorized access'),(368,'CRED','CRED-01','IA-05','Prevent users from unauthorized access'),(369,'CRED','CRED-01','IA-05(01)','Prevent users from unauthorized access'),(370,'CRED','CRED-01','IA-05(02)','Prevent users from unauthorized access'),(371,'CRED','CRED-01','IA-05(03)','Prevent users from unauthorized access'),(372,'CRED','CRED-01','IA-05(11)','Prevent users from unauthorized access'),(373,'CRED','CRED-01','IA-06','Prevent users from unauthorized access'),(374,'CRED','CRED-01','IA-07','Prevent users from unauthorized access'),(375,'CRED','CRED-01','IA-08','Prevent users from unauthorized access'),(376,'CRED','CRED-01','MA-05','Prevent users from unauthorized access'),(377,'CRED','CRED-01','MA-05(01)','Prevent users from unauthorized access'),(378,'CRED','CRED-01','PE-02','Prevent users from unauthorized access'),(379,'CRED','CRED-01','PE-03','Prevent users from unauthorized access'),(380,'CRED','CRED-01','SC-28(01)','Prevent users from unauthorized access'),(381,'CRED','CRED-02','AC-18(01)','Ensure the use of strong credentials'),(382,'CRED','CRED-02','IA-02','Ensure the use of strong credentials'),(383,'CRED','CRED-02','IA-02(01)','Ensure the use of strong credentials'),(384,'CRED','CRED-02','IA-02(02)','Ensure the use of strong credentials'),(385,'CRED','CRED-02','IA-02(03)','Ensure the use of strong credentials'),(386,'CRED','CRED-02','IA-02(04)','Ensure the use of strong credentials'),(387,'CRED','CRED-02','IA-02(06)','Ensure the use of strong credentials'),(388,'CRED','CRED-02','IA-02(07)','Ensure the use of strong credentials'),(389,'CRED','CRED-02','IA-02(08)','Ensure the use of strong credentials'),(390,'CRED','CRED-02','IA-02(09)','Ensure the use of strong credentials'),(391,'CRED','CRED-02','IA-02(11)','Ensure the use of strong credentials'),(392,'CRED','CRED-02','IA-02(12)','Ensure the use of strong credentials'),(393,'CRED','CRED-02','IA-05','Ensure the use of strong credentials'),(394,'CRED','CRED-02','IA-05(01)','Ensure the use of strong credentials'),(395,'CRED','CRED-02','IA-05(02)','Ensure the use of strong credentials'),(396,'CRED','CRED-02','IA-08','Ensure the use of strong credentials'),(397,'CRED','CRED-02','IA-08(01)','Ensure the use of strong credentials'),(398,'CRED','CRED-02','IA-08(02)','Ensure the use of strong credentials'),(399,'CRED','CRED-02','IA-08(03)','Ensure the use of strong credentials'),(400,'CRED','CRED-02','IA-08(04)','Ensure the use of strong credentials'),(401,'CRED','CRED-02','MA-04','Ensure the use of strong credentials'),(402,'CRED','CRED-02','MA-04(06)','Ensure the use of strong credentials'),(403,'CRED','CRED-02','SC-17','Ensure the use of strong credentials'),(404,'CRED','CRED-02','SC-28(01)','Ensure the use of strong credentials'),(405,'CRED','CRED-03','AC-02','Ensure the proper assignment of credentials'),(406,'CRED','CRED-03','AC-02(01)','Ensure the proper assignment of credentials'),(407,'CRED','CRED-03','AC-06','Ensure the proper assignment of credentials'),(408,'CRED','CRED-03','AC-06(01)','Ensure the proper assignment of credentials'),(409,'CRED','CRED-03','AC-06(03)','Ensure the proper assignment of credentials'),(410,'CRED','CRED-03','AC-18(04)','Ensure the proper assignment of credentials'),(411,'CRED','CRED-03','IA-02','Ensure the proper assignment of credentials'),(412,'CRED','CRED-03','IA-04','Ensure the proper assignment of credentials'),(413,'CRED','CRED-03','IA-04(03)','Ensure the proper assignment of credentials'),(414,'CRED','CRED-03','IA-05','Ensure the proper assignment of credentials'),(415,'CRED','CRED-03','IA-05(03)','Ensure the proper assignment of credentials'),(416,'CRED','CRED-03','IA-08','Ensure the proper assignment of credentials'),(417,'CRED','CRED-03','MA-04','Ensure the proper assignment of credentials'),(418,'CRED','CRED-03','MA-05','Ensure the proper assignment of credentials'),(419,'CRED','CRED-03','MA-05(01)','Ensure the proper assignment of credentials'),(420,'CRED','CRED-03','PE-02','Ensure the proper assignment of credentials'),(421,'CRED','CRED-03','PE-02(01)','Ensure the proper assignment of credentials'),(422,'CRED','CRED-03','PE-03','Ensure the proper assignment of credentials'),(423,'CRED','CRED-03','SA-21','Ensure the proper assignment of credentials'),(424,'CRED','CRED-04','AC-09','Ensure the use of credentials is reported and tracked '),(425,'CRED','CRED-04','AC-09(01)','Ensure the use of credentials is reported and tracked '),(426,'CRED','CRED-04','IA-05','Ensure the use of credentials is reported and tracked '),(427,'CRED','CRED-04','MA-04','Ensure the use of credentials is reported and tracked '),(428,'CRED','CRED-04','MA-04(01)','Ensure the use of credentials is reported and tracked '),(429,'CRED','CRED-04','MA-05','Ensure the use of credentials is reported and tracked '),(430,'CRED','CRED-04','PE-03','Ensure the use of credentials is reported and tracked '),(431,'CRED','CRED-05','AC-02(02)','Ensure credentials are used in the correct manner'),(432,'CRED','CRED-05','AC-02(03)','Ensure credentials are used in the correct manner'),(433,'CRED','CRED-05','AC-02(05)','Ensure credentials are used in the correct manner'),(434,'CRED','CRED-05','AC-02(09)','Ensure credentials are used in the correct manner'),(435,'CRED','CRED-05','AC-02(11)','Ensure credentials are used in the correct manner'),(436,'CRED','CRED-05','AC-07','Ensure credentials are used in the correct manner'),(437,'CRED','CRED-05','AC-11','Ensure credentials are used in the correct manner'),(438,'CRED','CRED-05','AC-11(01)','Ensure credentials are used in the correct manner'),(439,'CRED','CRED-05','AC-12','Ensure credentials are used in the correct manner'),(440,'CRED','CRED-05','IA-04','Ensure credentials are used in the correct manner'),(441,'CRED','CRED-05','IA-05','Ensure credentials are used in the correct manner'),(442,'CRED','CRED-05','IA-06','Ensure credentials are used in the correct manner'),(443,'CRED','CRED-05','IA-07','Ensure credentials are used in the correct manner'),(444,'CRED','CRED-05','MA-05','Ensure credentials are used in the correct manner'),(445,'CRED','CRED-06','AT-02','Ensure credentials are safeguarded'),(446,'CRED','CRED-06','AT-03','Ensure credentials are safeguarded'),(447,'CRED','CRED-06','IA-05','Ensure credentials are safeguarded'),(448,'CRED','CRED-06','SA-16','Ensure credentials are safeguarded'),(449,'CRED','CRED-07','AC-02','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(450,'CRED','CRED-07','AC-02(01)','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(451,'CRED','CRED-07','AC-02(02)','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(452,'CRED','CRED-07','AC-02(03)','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(453,'CRED','CRED-07','AC-02(04)','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(454,'CRED','CRED-07','AC-02(10)','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(455,'CRED','CRED-07','AC-02(13)','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(456,'CRED','CRED-07','AC-06(07)','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(457,'CRED','CRED-07','IA-05','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(458,'CRED','CRED-07','MA-04','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(459,'CRED','CRED-07','PE-02','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(460,'CRED','CRED-07','PE-03','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(461,'CRED','CRED-07','PS-04','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(462,'CRED','CRED-07','PS-04(02)','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(463,'CRED','CRED-07','PS-05','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(464,'CRED','CRED-07','PS-08','Ensure the reporting of expired, modified, lost, stolen, or revoked credentials '),(465,'CRED','CRED-08','AC-02','Reduce insider threat of unauthorized users'),(466,'CRED','CRED-08','AC-05','Reduce insider threat of unauthorized users'),(467,'CRED','CRED-08','IA-04','Reduce insider threat of unauthorized users'),(468,'CRED','CRED-08','IA-05','Reduce insider threat of unauthorized users'),(469,'CRED','CRED-08','MA-04','Reduce insider threat of unauthorized users'),(470,'CRED','CRED-08','MA-05','Reduce insider threat of unauthorized users'),(471,'CRED','CRED-08','MA-05(01)','Reduce insider threat of unauthorized users'),(472,'CSM','CSM-01','AC-18(04)','Reduce the number of unauthorized configuration changes to software and hardware '),(473,'CSM','CSM-01','AU-09(04)','Reduce the number of unauthorized configuration changes to software and hardware '),(474,'CSM','CSM-01','AU-12(03)','Reduce the number of unauthorized configuration changes to software and hardware '),(475,'CSM','CSM-01','CM-02','Reduce the number of unauthorized configuration changes to software and hardware '),(476,'CSM','CSM-01','CM-02(01)','Reduce the number of unauthorized configuration changes to software and hardware '),(477,'CSM','CSM-01','CM-03','Reduce the number of unauthorized configuration changes to software and hardware '),(478,'CSM','CSM-01','SI-07(06)','Reduce the number of unauthorized configuration changes to software and hardware '),(479,'CSM','CSM-02','CM-03','Prevent  unconfigured/misconfigured hardware and software assets '),(480,'CSM','CSM-02','CM-06','Prevent  unconfigured/misconfigured hardware and software assets '),(481,'CSM','CSM-02','SA-10','Prevent  unconfigured/misconfigured hardware and software assets '),(482,'CSM','CSM-02','SC-24','Prevent  unconfigured/misconfigured hardware and software assets '),(483,'CSM','CSM-02','SI-07','Prevent  unconfigured/misconfigured hardware and software assets '),(484,'CSM','CSM-03','IA-05(01)','Ensure monitoring for approved secure baseline configuration'),(485,'CSM','CSM-03','IA-05(02)','Ensure monitoring for approved secure baseline configuration'),(486,'CSM','CSM-03','SA-10','Ensure monitoring for approved secure baseline configuration'),(487,'CSM','CSM-03','SI-04','Ensure monitoring for approved secure baseline configuration'),(488,'CSM','CSM-03','SI-04(02)','Ensure monitoring for approved secure baseline configuration'),(489,'CSM','CSM-03','SI-04(04)','Ensure monitoring for approved secure baseline configuration'),(490,'CSM','CSM-03','SI-04(05)','Ensure monitoring for approved secure baseline configuration'),(491,'CSM','CSM-03','SI-07','Ensure monitoring for approved secure baseline configuration'),(492,'CSM','CSM-03','SI-07(01)','Ensure monitoring for approved secure baseline configuration'),(493,'CSM','CSM-03','SI-07(02)','Ensure monitoring for approved secure baseline configuration'),(494,'CSM','CSM-03','SI-07(05)','Ensure monitoring for approved secure baseline configuration'),(495,'CSM','CSM-03','SI-07(07)','Ensure monitoring for approved secure baseline configuration'),(496,'CSM','CSM-04','AU-03','Ensure needed configuration changes are approved or disapproved in a timely manner'),(497,'CSM','CSM-04','AU-03(01)','Ensure needed configuration changes are approved or disapproved in a timely manner'),(498,'CSM','CSM-04','AU-03(02)','Ensure needed configuration changes are approved or disapproved in a timely manner'),(499,'CSM','CSM-04','AU-12','Ensure needed configuration changes are approved or disapproved in a timely manner'),(500,'CSM','CSM-04','CM-03','Ensure needed configuration changes are approved or disapproved in a timely manner'),(501,'CSM','CSM-04','CM-03(01)','Ensure needed configuration changes are approved or disapproved in a timely manner'),(502,'CSM','CSM-04','CM-03(02)','Ensure needed configuration changes are approved or disapproved in a timely manner'),(503,'CSM','CSM-04','CM-03(06)','Ensure needed configuration changes are approved or disapproved in a timely manner'),(504,'CSM','CSM-04','SA-10','Ensure needed configuration changes are approved or disapproved in a timely manner'),(505,'CSM','CSM-05','CM-08','Ensure that configuration settings associated with hardware and software components are inventoried and reported'),(506,'CSM','CSM-05','CM-08(01)','Ensure that configuration settings associated with hardware and software components are inventoried and reported'),(507,'CSM','CSM-05','CM-08(02)','Ensure that configuration settings associated with hardware and software components are inventoried and reported'),(508,'CSM','CSM-05','CM-08(03)','Ensure that configuration settings associated with hardware and software components are inventoried and reported'),(509,'CSM','CSM-05','PE-16','Ensure that configuration settings associated with hardware and software components are inventoried and reported'),(510,'CSM','CSM-06','CM-03','Ensure that all configuration items at the system and component level (e.g., hardware, software, workstation)  are accounted for'),(511,'CSM','CSM-06','CM-03(01)','Ensure that all configuration items at the system and component level (e.g., hardware, software, workstation)  are accounted for'),(512,'CSM','CSM-06','CM-03(02)','Ensure that all configuration items at the system and component level (e.g., hardware, software, workstation)  are accounted for'),(513,'CSM','CSM-06','CM-03(06)','Ensure that all configuration items at the system and component level (e.g., hardware, software, workstation)  are accounted for'),(514,'CSM','CSM-06','IA-03','Ensure that all configuration items at the system and component level (e.g., hardware, software, workstation)  are accounted for'),(515,'CSM','CSM-06','SC-24','Ensure that all configuration items at the system and component level (e.g., hardware, software, workstation)  are accounted for'),(516,'CSM','CSM-07','CM-04','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(517,'CSM','CSM-07','CM-06','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(518,'CSM','CSM-07','CM-06(01)','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(519,'CSM','CSM-07','CM-07','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(520,'CSM','CSM-07','CM-07(01)','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(521,'CSM','CSM-07','CM-07(02)','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(522,'CSM','CSM-07','CM-07(04)','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(523,'CSM','CSM-07','CM-07(05)','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(524,'CSM','CSM-07','SC-07','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(525,'CSM','CSM-07','SC-19','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(526,'CSM','CSM-07','SC-24','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(527,'CSM','CSM-07','SI-03(02)','Reduce the number of misconfigured or insecure configuration settings of hardware or software'),(528,'CSM','CSM-08','CM-02','Ensure security configurations are compliant with the established benchmarks'),(529,'CSM','CSM-08','CM-02(01)','Ensure security configurations are compliant with the established benchmarks'),(530,'CSM','CSM-08','CM-02(02)','Ensure security configurations are compliant with the established benchmarks'),(531,'CSM','CSM-08','CM-02(03)','Ensure security configurations are compliant with the established benchmarks'),(532,'CSM','CSM-08','CM-02(06)','Ensure security configurations are compliant with the established benchmarks'),(533,'CSM','CSM-08','CM-02(07)','Ensure security configurations are compliant with the established benchmarks'),(534,'CSM','CSM-08','CM-03','Ensure security configurations are compliant with the established benchmarks'),(535,'CSM','CSM-08','CM-06','Ensure security configurations are compliant with the established benchmarks'),(536,'CSM','CSM-08','CM-06(01)','Ensure security configurations are compliant with the established benchmarks'),(537,'CSM','CSM-08','CM-06(02)','Ensure security configurations are compliant with the established benchmarks'),(538,'CSM','CSM-08','CP-06(02)','Ensure security configurations are compliant with the established benchmarks'),(539,'CSM','CSM-08','CP-10(02)','Ensure security configurations are compliant with the established benchmarks'),(540,'CSM','CSM-08','SI-10','Ensure security configurations are compliant with the established benchmarks'),(541,'CSM','CSM-08','SI-11','Ensure security configurations are compliant with the established benchmarks'),(542,'CSM','CSM-08','SI-16','Ensure security configurations are compliant with the established benchmarks'),(543,'CSM','CSM-09','CM-03','Report on security impact analysis'),(544,'CSM','CSM-09','CM-04','Report on security impact analysis'),(545,'CSM','CSM-09','CM-04(01)','Report on security impact analysis'),(546,'CSM','CSM-09','SA-10','Report on security impact analysis'),(547,'CSM','CSM-10','CM-02(01)','Ensure that information system is compliant with baseline configuration settings'),(548,'CSM','CSM-10','CM-02(02)','Ensure that information system is compliant with baseline configuration settings'),(549,'CSM','CSM-10','CM-06','Ensure that information system is compliant with baseline configuration settings'),(550,'CSM','CSM-10','CM-08(03)','Ensure that information system is compliant with baseline configuration settings'),(551,'CSM','CSM-10','CM-11','Ensure that information system is compliant with baseline configuration settings'),(552,'CSM','CSM-10','SA-09','Ensure that information system is compliant with baseline configuration settings'),(553,'CSM','CSM-10','SA-09(02)','Ensure that information system is compliant with baseline configuration settings'),(554,'CSM','CSM-11','AU-06','Perform audit and review of compliance with established baseline configuration settings '),(555,'CSM','CSM-11','AU-06(01)','Perform audit and review of compliance with established baseline configuration settings '),(556,'CSM','CSM-11','AU-06(03)','Perform audit and review of compliance with established baseline configuration settings '),(557,'CSM','CSM-11','AU-06(05)','Perform audit and review of compliance with established baseline configuration settings '),(558,'CSM','CSM-11','AU-06(06)','Perform audit and review of compliance with established baseline configuration settings '),(559,'CSM','CSM-11','AU-06(10)','Perform audit and review of compliance with established baseline configuration settings '),(560,'CSM','CSM-11','AU-07','Perform audit and review of compliance with established baseline configuration settings '),(561,'CSM','CSM-11','AU-07(01)','Perform audit and review of compliance with established baseline configuration settings '),(562,'CSM','CSM-11','AU-08','Perform audit and review of compliance with established baseline configuration settings '),(563,'CSM','CSM-11','AU-08(01)','Perform audit and review of compliance with established baseline configuration settings '),(564,'CSM','CSM-11','AU-09','Perform audit and review of compliance with established baseline configuration settings '),(565,'CSM','CSM-11','AU-09(02)','Perform audit and review of compliance with established baseline configuration settings '),(566,'CSM','CSM-11','AU-09(03)','Perform audit and review of compliance with established baseline configuration settings '),(567,'CSM','CSM-11','AU-09(04)','Perform audit and review of compliance with established baseline configuration settings '),(568,'CSM','CSM-11','AU-12','Perform audit and review of compliance with established baseline configuration settings '),(569,'CSM','CSM-11','AU-12(01)','Perform audit and review of compliance with established baseline configuration settings '),(570,'CSM','CSM-11','AU-12(03)','Perform audit and review of compliance with established baseline configuration settings '),(571,'CSM','CSM-11','CM-02(02)','Perform audit and review of compliance with established baseline configuration settings '),(572,'CSM','CSM-11','CM-06(01)','Perform audit and review of compliance with established baseline configuration settings '),(573,'CSM','CSM-12','CM-09','Ensure the effective implementation and management of the information system configuration management plan'),(574,'CSM','CSM-12','SA-04(08)','Ensure the effective implementation and management of the information system configuration management plan'),(575,'CSM','CSM-13','AC-09','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(576,'CSM','CSM-13','AC-10','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(577,'CSM','CSM-13','AC-11','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(578,'CSM','CSM-13','AC-11(01)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(579,'CSM','CSM-13','AC-12','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(580,'CSM','CSM-13','AC-14','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(581,'CSM','CSM-13','AC-17(09)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(582,'CSM','CSM-13','AC-18(04)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(583,'CSM','CSM-13','AU-09(04)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(584,'CSM','CSM-13','AU-12(03)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(585,'CSM','CSM-13','CM-06','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(586,'CSM','CSM-13','CM-06(01)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(587,'CSM','CSM-13','IA-02','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(588,'CSM','CSM-13','IA-02(01)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(589,'CSM','CSM-13','IA-02(02)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(590,'CSM','CSM-13','IA-02(03)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(591,'CSM','CSM-13','IA-02(04)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(592,'CSM','CSM-13','IA-02(08)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(593,'CSM','CSM-13','IA-02(09)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(594,'CSM','CSM-13','IA-02(11)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(595,'CSM','CSM-13','IA-02(12)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(596,'CSM','CSM-13','IA-06','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(597,'CSM','CSM-13','IA-07','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(598,'CSM','CSM-13','IA-08','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(599,'CSM','CSM-13','IA-08(01)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(600,'CSM','CSM-13','IA-08(02)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(601,'CSM','CSM-13','IA-08(03)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(602,'CSM','CSM-13','IA-08(04)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(603,'CSM','CSM-13','SA-04(08)','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(604,'CSM','CSM-13','SC-24','Prevent unauthorized access to information system assets by ensuring approved configurtion settings and benchmarks are in place'),(605,'DETECT','DETECT-01','AC-06','Ensure Audit logs are captured'),(606,'DETECT','DETECT-01','AC-06(09)','Ensure Audit logs are captured'),(607,'DETECT','DETECT-01','AU-02','Ensure Audit logs are captured'),(608,'DETECT','DETECT-01','AU-02(03)','Ensure Audit logs are captured'),(609,'DETECT','DETECT-01','AU-03','Ensure Audit logs are captured'),(610,'DETECT','DETECT-01','AU-03(01)','Ensure Audit logs are captured'),(611,'DETECT','DETECT-01','AU-03(02)','Ensure Audit logs are captured'),(612,'DETECT','DETECT-01','AU-04','Ensure Audit logs are captured'),(613,'DETECT','DETECT-01','AU-05(02)','Ensure Audit logs are captured'),(614,'DETECT','DETECT-01','AU-10','Ensure Audit logs are captured'),(615,'DETECT','DETECT-01','AU-10(01)','Ensure Audit logs are captured'),(616,'DETECT','DETECT-01','AU-12','Ensure Audit logs are captured'),(617,'DETECT','DETECT-01','AU-12(01)','Ensure Audit logs are captured'),(618,'DETECT','DETECT-01','AU-12(03)','Ensure Audit logs are captured'),(619,'DETECT','DETECT-01','AU-16','Ensure Audit logs are captured'),(620,'DETECT','DETECT-01','CM-05(01)','Ensure Audit logs are captured'),(621,'DETECT','DETECT-01','MP-COSA-01','Ensure Audit logs are captured'),(622,'DETECT','DETECT-01','PE-03','Ensure Audit logs are captured'),(623,'DETECT','DETECT-01','PE-06','Ensure Audit logs are captured'),(624,'DETECT','DETECT-01','PE-08','Ensure Audit logs are captured'),(625,'DETECT','DETECT-01','PE-08(01)','Ensure Audit logs are captured'),(626,'DETECT','DETECT-01','SA-15','Ensure Audit logs are captured'),(627,'DETECT','DETECT-01','SA-17','Ensure Audit logs are captured'),(628,'DETECT','DETECT-01','SI-04(16)','Ensure Audit logs are captured'),(629,'DETECT','DETECT-01','SI-06','Ensure Audit logs are captured'),(630,'DETECT','DETECT-01','SI-07(02)','Ensure Audit logs are captured'),(631,'DETECT','DETECT-01','SI-12','Ensure Audit logs are captured'),(632,'DETECT','DETECT-01','SE-01','Ensure Audit logs are captured'),(633,'DETECT','DETECT-02','AU-03(01)','Ensure audit logs are properly reviewed and managed'),(634,'DETECT','DETECT-02','AU-03(02)','Ensure audit logs are properly reviewed and managed'),(635,'DETECT','DETECT-02','AU-05','Ensure audit logs are properly reviewed and managed'),(636,'DETECT','DETECT-02','AU-05(01)','Ensure audit logs are properly reviewed and managed'),(637,'DETECT','DETECT-02','AU-05(02)','Ensure audit logs are properly reviewed and managed'),(638,'DETECT','DETECT-02','AU-06(03)','Ensure audit logs are properly reviewed and managed'),(639,'DETECT','DETECT-02','AU-07','Ensure audit logs are properly reviewed and managed'),(640,'DETECT','DETECT-02','AU-08','Ensure audit logs are properly reviewed and managed'),(641,'DETECT','DETECT-02','AU-08(01)','Ensure audit logs are properly reviewed and managed'),(642,'DETECT','DETECT-02','AU-09','Ensure audit logs are properly reviewed and managed'),(643,'DETECT','DETECT-02','AU-09(02)','Ensure audit logs are properly reviewed and managed'),(644,'DETECT','DETECT-02','AU-09(03)','Ensure audit logs are properly reviewed and managed'),(645,'DETECT','DETECT-02','AU-09(04)','Ensure audit logs are properly reviewed and managed'),(646,'DETECT','DETECT-02','AU-11','Ensure audit logs are properly reviewed and managed'),(647,'DETECT','DETECT-02','AU-12(03)','Ensure audit logs are properly reviewed and managed'),(648,'DETECT','DETECT-02','AU-16','Ensure audit logs are properly reviewed and managed'),(649,'DETECT','DETECT-02','AU-16(02)','Ensure audit logs are properly reviewed and managed'),(650,'DETECT','DETECT-02','CM-05','Ensure audit logs are properly reviewed and managed'),(651,'DETECT','DETECT-02','CP-02(02)','Ensure audit logs are properly reviewed and managed'),(652,'DETECT','DETECT-02','SE-01','Ensure audit logs are properly reviewed and managed'),(653,'DETECT','DETECT-03','AC-20','Privacy monitoring'),(654,'DETECT','DETECT-03','AC-20(01)','Privacy monitoring'),(655,'DETECT','DETECT-03','AC-20(02)','Privacy monitoring'),(656,'DETECT','DETECT-03','AC-20(03)','Privacy monitoring'),(657,'DETECT','DETECT-03','AC-21','Privacy monitoring'),(658,'DETECT','DETECT-03','AC-22','Privacy monitoring'),(659,'DETECT','DETECT-03','AU-02','Privacy monitoring'),(660,'DETECT','DETECT-03','AU-02(03)','Privacy monitoring'),(661,'DETECT','DETECT-03','AU-03','Privacy monitoring'),(662,'DETECT','DETECT-03','AU-03(01)','Privacy monitoring'),(663,'DETECT','DETECT-03','AU-03(02)','Privacy monitoring'),(664,'DETECT','DETECT-03','AU-06','Privacy monitoring'),(665,'DETECT','DETECT-03','AU-07','Privacy monitoring'),(666,'DETECT','DETECT-03','AU-12','Privacy monitoring'),(667,'DETECT','DETECT-03','AU-12(01)','Privacy monitoring'),(668,'DETECT','DETECT-03','AU-12(03)','Privacy monitoring'),(669,'DETECT','DETECT-03','IR-09','Privacy monitoring'),(670,'DETECT','DETECT-03','MA-04','Privacy monitoring'),(671,'DETECT','DETECT-03','RA-05','Privacy monitoring'),(672,'DETECT','DETECT-03','SA-04(08)','Privacy monitoring'),(673,'DETECT','DETECT-03','SA-15(09)','Privacy monitoring'),(674,'DETECT','DETECT-03','SC-COSA-01','Privacy monitoring'),(675,'DETECT','DETECT-03','SI-04','Privacy monitoring'),(676,'DETECT','DETECT-03','AR-01','Privacy monitoring'),(677,'DETECT','DETECT-03','AR-04','Privacy monitoring'),(678,'DETECT','DETECT-03','AR-06','Privacy monitoring'),(679,'DETECT','DETECT-03','DM-02(01)','Privacy monitoring'),(680,'DETECT','DETECT-03','SE-01','Privacy monitoring'),(681,'DETECT','DETECT-03','SE-02','Privacy monitoring'),(682,'DETECT','DETECT-03','TR-01','Privacy monitoring'),(683,'DETECT','DETECT-04','CP-01','Ensure contingency plans are in place and regularly reviewed and tested'),(684,'DETECT','DETECT-04','CP-02','Ensure contingency plans are in place and regularly reviewed and tested'),(685,'DETECT','DETECT-04','CP-02(02)','Ensure contingency plans are in place and regularly reviewed and tested'),(686,'DETECT','DETECT-04','CP-02(03)','Ensure contingency plans are in place and regularly reviewed and tested'),(687,'DETECT','DETECT-04','CP-02(04)','Ensure contingency plans are in place and regularly reviewed and tested'),(688,'DETECT','DETECT-04','CP-02(05)','Ensure contingency plans are in place and regularly reviewed and tested'),(689,'DETECT','DETECT-04','CP-02(08)','Ensure contingency plans are in place and regularly reviewed and tested'),(690,'DETECT','DETECT-04','CP-04','Ensure contingency plans are in place and regularly reviewed and tested'),(691,'DETECT','DETECT-04','CP-04(02)','Ensure contingency plans are in place and regularly reviewed and tested'),(692,'DETECT','DETECT-04','CP-04(04)','Ensure contingency plans are in place and regularly reviewed and tested'),(693,'DETECT','DETECT-04','CP-06','Ensure contingency plans are in place and regularly reviewed and tested'),(694,'DETECT','DETECT-04','CP-06(01)','Ensure contingency plans are in place and regularly reviewed and tested'),(695,'DETECT','DETECT-04','CP-06(02)','Ensure contingency plans are in place and regularly reviewed and tested'),(696,'DETECT','DETECT-04','CP-07','Ensure contingency plans are in place and regularly reviewed and tested'),(697,'DETECT','DETECT-04','CP-07(01)','Ensure contingency plans are in place and regularly reviewed and tested'),(698,'DETECT','DETECT-04','CP-07(02)','Ensure contingency plans are in place and regularly reviewed and tested'),(699,'DETECT','DETECT-04','CP-07(03)','Ensure contingency plans are in place and regularly reviewed and tested'),(700,'DETECT','DETECT-04','CP-07(04)','Ensure contingency plans are in place and regularly reviewed and tested'),(701,'DETECT','DETECT-04','CP-08','Ensure contingency plans are in place and regularly reviewed and tested'),(702,'DETECT','DETECT-04','CP-09','Ensure contingency plans are in place and regularly reviewed and tested'),(703,'DETECT','DETECT-04','CP-09(01)','Ensure contingency plans are in place and regularly reviewed and tested'),(704,'DETECT','DETECT-04','CP-09(02)','Ensure contingency plans are in place and regularly reviewed and tested'),(705,'DETECT','DETECT-04','CP-09(03)','Ensure contingency plans are in place and regularly reviewed and tested'),(706,'DETECT','DETECT-04','CP-09(05)','Ensure contingency plans are in place and regularly reviewed and tested'),(707,'DETECT','DETECT-04','CP-10','Ensure contingency plans are in place and regularly reviewed and tested'),(708,'DETECT','DETECT-04','CP-10(04)','Ensure contingency plans are in place and regularly reviewed and tested'),(709,'DETECT','DETECT-04','MP-01','Ensure contingency plans are in place and regularly reviewed and tested'),(710,'DETECT','DETECT-04','MP-04','Ensure contingency plans are in place and regularly reviewed and tested'),(711,'DETECT','DETECT-04','MP-05','Ensure contingency plans are in place and regularly reviewed and tested'),(712,'DETECT','DETECT-04','PE-13(01)','Ensure contingency plans are in place and 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databases)'),(866,'DETECT','DETECT-10','AU-07(01)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(867,'DETECT','DETECT-10','AU-07(02)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(868,'DETECT','DETECT-10','AU-12','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(869,'DETECT','DETECT-10','AU-12(01)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(870,'DETECT','DETECT-10','AU-12(03)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(871,'DETECT','DETECT-10','CA-07','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(872,'DETECT','DETECT-10','CM-03','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(873,'DETECT','DETECT-10','IR-04','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(874,'DETECT','DETECT-10','IR-04(06)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(875,'DETECT','DETECT-10','IR-09','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(876,'DETECT','DETECT-10','IR-09(04)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(877,'DETECT','DETECT-10','MA-04','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(878,'DETECT','DETECT-10','SA-04(08)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(879,'DETECT','DETECT-10','SC-05','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(880,'DETECT','DETECT-10','SC-07','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(881,'DETECT','DETECT-10','SC-07(03)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(882,'DETECT','DETECT-10','SC-19','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(883,'DETECT','DETECT-10','SC-COSA-01','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(884,'DETECT','DETECT-10','SI-04','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(885,'DETECT','DETECT-10','SI-04(02)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(886,'DETECT','DETECT-10','SI-04(04)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(887,'DETECT','DETECT-10','SI-04(14)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(888,'DETECT','DETECT-10','SI-04(23)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(889,'DETECT','DETECT-10','SI-04(24)','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(890,'DETECT','DETECT-10','PM-12','Perform information system monitoring to include the network and server based systems, appliances, devices and applications (including databases)'),(891,'DETECT','DETECT-11','AC-02(01)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(892,'DETECT','DETECT-11','AC-02(03)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(893,'DETECT','DETECT-11','AC-02(04)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(894,'DETECT','DETECT-11','AC-02(12)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(895,'DETECT','DETECT-11','AC-02(13)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(896,'DETECT','DETECT-11','AC-06(07)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(897,'DETECT','DETECT-11','AC-06(09)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(898,'DETECT','DETECT-11','AC-20(01)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(899,'DETECT','DETECT-11','AC-20(02)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(900,'DETECT','DETECT-11','AC-20(03)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(901,'DETECT','DETECT-11','AC-21','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(902,'DETECT','DETECT-11','AC-22','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(903,'DETECT','DETECT-11','AU-06','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(904,'DETECT','DETECT-11','AU-12','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator 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activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(910,'DETECT','DETECT-11','MA-04','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(911,'DETECT','DETECT-11','MP-07','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(912,'DETECT','DETECT-11','PE-06','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(913,'DETECT','DETECT-11','PE-06(01)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(914,'DETECT','DETECT-11','PE-06(04)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(915,'DETECT','DETECT-11','PE-13','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(916,'DETECT','DETECT-11','PE-13(01)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(917,'DETECT','DETECT-11','PE-13(02)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(918,'DETECT','DETECT-11','SA-04(08)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(919,'DETECT','DETECT-11','SC-COSA-01','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(920,'DETECT','DETECT-11','SI-04(24)','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(921,'DETECT','DETECT-11','PM-12','Monitor User activity Ensure monitoring is being performed for user activitiy including successful and failed logon attempts, privileged user account activity, and system administrator activities'),(922,'HWAM','HWAM-01','AC-19','Prevent unauthorized devices'),(923,'HWAM','HWAM-01','AC-20','Prevent unauthorized devices'),(924,'HWAM','HWAM-01','AC-20(02)','Prevent unauthorized devices'),(925,'HWAM','HWAM-01','CM-03','Prevent unauthorized devices'),(926,'HWAM','HWAM-01','CM-03(01)','Prevent unauthorized devices'),(927,'HWAM','HWAM-01','CM-07','Prevent unauthorized devices'),(928,'HWAM','HWAM-01','CM-07(01)','Prevent unauthorized devices'),(929,'HWAM','HWAM-01','CM-08','Prevent unauthorized devices'),(930,'HWAM','HWAM-01','CM-08(01)','Prevent unauthorized devices'),(931,'HWAM','HWAM-01','CM-08(03)','Prevent unauthorized devices'),(932,'HWAM','HWAM-01','MA-03(01)','Prevent unauthorized devices'),(933,'HWAM','HWAM-01','PE-18','Prevent unauthorized devices'),(934,'HWAM','HWAM-01','PS-04','Prevent unauthorized devices'),(935,'HWAM','HWAM-01','SC-15','Prevent unauthorized devices'),(936,'HWAM','HWAM-02','AC-19','Reduce number of devices without assigned device 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'),(963,'HWAM','HWAM-05','MA-06','Ensure defect check completeness '),(964,'HWAM','HWAM-05','SI-03','Ensure defect check completeness '),(965,'HWAM','HWAM-05','SI-04','Ensure defect check completeness '),(966,'HWAM','HWAM-06','CA-07','Ensure reporting timeliness '),(967,'HWAM','HWAM-06','CM-03','Ensure reporting timeliness '),(968,'HWAM','HWAM-06','CM-03(02)','Ensure reporting timeliness '),(969,'HWAM','HWAM-06','CM-08','Ensure reporting timeliness '),(970,'HWAM','HWAM-06','CM-08(01)','Ensure reporting timeliness '),(971,'HWAM','HWAM-06','CM-08(02)','Ensure reporting timeliness '),(972,'HWAM','HWAM-06','CM-08(03)','Ensure reporting timeliness '),(973,'HWAM','HWAM-06','MA-06','Ensure reporting timeliness '),(974,'HWAM','HWAM-06','SI-04','Ensure reporting timeliness '),(975,'HWAM','HWAM-07','AC-19','Reduce exploitation of devices before removal, during use elsewhere, and after return '),(976,'HWAM','HWAM-07','AC-20(02)','Reduce exploitation of devices before removal, during use 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procedures'),(1151,'RESPOND','RESPOND-02','IR-04(01)','Ensure privacy breach notification process is in place in accordance with established COSA policies and procedures'),(1152,'RESPOND','RESPOND-02','IR-05','Ensure privacy breach notification process is in place in accordance with established COSA policies and procedures'),(1153,'RESPOND','RESPOND-02','IR-08','Ensure privacy breach notification process is in place in accordance with established COSA policies and procedures'),(1154,'RESPOND','RESPOND-02','IR-09','Ensure privacy breach notification process is in place in accordance with established COSA policies and procedures'),(1155,'RESPOND','RESPOND-02','AR-04','Ensure privacy breach notification process is in place in accordance with established COSA policies and procedures'),(1156,'RESPOND','RESPOND-02','AR-06','Ensure privacy breach notification process is in place in accordance with established COSA policies and procedures'),(1157,'RESPOND','RESPOND-02','IP-04','Ensure privacy breach notification process is in place in accordance with established COSA policies and procedures'),(1158,'RESPOND','RESPOND-02','IP-04(01)','Ensure privacy breach notification process is in place in accordance with established COSA policies and procedures'),(1159,'RESPOND','RESPOND-02','SE-02','Ensure privacy breach notification process is in place in accordance with established COSA policies and procedures'),(1160,'RESPOND','RESPOND-03','CM-02','Contingency plans are in place'),(1161,'RESPOND','RESPOND-03','CM-02(01)','Contingency plans are in place'),(1162,'RESPOND','RESPOND-03','CP-01','Contingency plans are in place'),(1163,'RESPOND','RESPOND-03','CP-02','Contingency plans are in place'),(1164,'RESPOND','RESPOND-03','CP-02(01)','Contingency plans are in place'),(1165,'RESPOND','RESPOND-03','CP-02(02)','Contingency plans are in place'),(1166,'RESPOND','RESPOND-03','CP-02(03)','Contingency plans are in place'),(1167,'RESPOND','RESPOND-03','CP-02(04)','Contingency plans are in 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for threats, avenues of attack, and defense-in-depth.'),(1502,'SE','SE-02','AC-11(01)','Design for threats, avenues of attack, and defense-in-depth.'),(1503,'SE','SE-02','AC-12','Design for threats, avenues of attack, and defense-in-depth.'),(1504,'SE','SE-02','PL-02','Design for threats, avenues of attack, and defense-in-depth.'),(1505,'SE','SE-02','PL-02(03)','Design for threats, avenues of attack, and defense-in-depth.'),(1506,'SE','SE-02','PL-08','Design for threats, avenues of attack, and defense-in-depth.'),(1507,'SE','SE-02','SA-02','Design for threats, avenues of attack, and defense-in-depth.'),(1508,'SE','SE-02','SA-03','Design for threats, avenues of attack, and defense-in-depth.'),(1509,'SE','SE-02','SA-04(01)','Design for threats, avenues of attack, and defense-in-depth.'),(1510,'SE','SE-02','SA-04(02)','Design for threats, avenues of attack, and defense-in-depth.'),(1511,'SE','SE-02','SA-04(09)','Design for threats, avenues of attack, and defense-in-depth.'),(1512,'SE','SE-02','SA-05','Design for threats, avenues of attack, and defense-in-depth.'),(1513,'SE','SE-02','SA-08','Design for threats, avenues of attack, and defense-in-depth.'),(1514,'SE','SE-02','SA-09','Design for threats, avenues of attack, and defense-in-depth.'),(1515,'SE','SE-02','SA-09(02)','Design for threats, avenues of attack, and defense-in-depth.'),(1516,'SE','SE-02','SA-10','Design for threats, avenues of attack, and defense-in-depth.'),(1517,'SE','SE-02','SA-10(01)','Design for threats, avenues of attack, and defense-in-depth.'),(1518,'SE','SE-02','SA-11','Design for threats, avenues of attack, and defense-in-depth.'),(1519,'SE','SE-02','SA-11(02)','Design for threats, avenues of attack, and defense-in-depth.'),(1520,'SE','SE-02','SA-12','Design for threats, avenues of attack, and defense-in-depth.'),(1521,'SE','SE-02','SA-15','Design for threats, avenues of attack, and defense-in-depth.'),(1522,'SE','SE-02','SA-15(09)','Design for threats, avenues of attack, and defense-in-depth.'),(1523,'SE','SE-02','SA-17','Design for threats, avenues of attack, and defense-in-depth.'),(1524,'SE','SE-02','SC-02','Design for threats, avenues of attack, and defense-in-depth.'),(1525,'SE','SE-02','SC-03(03)','Design for threats, avenues of attack, and defense-in-depth.'),(1526,'SE','SE-02','SC-03(04)','Design for threats, avenues of attack, and defense-in-depth.'),(1527,'SE','SE-02','SC-03(05)','Design for threats, avenues of attack, and defense-in-depth.'),(1528,'SE','SE-02','SC-24','Design for threats, avenues of attack, and defense-in-depth.'),(1529,'SE','SE-02','SC-28(01)','Design for threats, avenues of attack, and defense-in-depth.'),(1530,'SE','SE-02','SC-39','Design for threats, avenues of attack, and defense-in-depth.'),(1531,'SE','SE-02','SI-06','Design for threats, avenues of attack, and defense-in-depth.'),(1532,'SE','SE-02','SI-06(02)','Design for threats, avenues of attack, and defense-in-depth.'),(1533,'SE','SE-02','SI-07(06)','Design for threats, avenues of attack, and defense-in-depth.'),(1534,'SE','SE-02','AR-07','Design for threats, avenues of attack, and defense-in-depth.'),(1535,'SE','SE-02','DM-03','Design for threats, avenues of attack, and defense-in-depth.'),(1536,'SE','SE-02','DM-03(01)','Design for threats, avenues of attack, and defense-in-depth.'),(1537,'SE','SE-03','AC-17(09)','Employ secure coding practices'),(1538,'SE','SE-03','CA-08','Employ secure coding practices'),(1539,'SE','SE-03','CA-08(01)','Employ secure coding practices'),(1540,'SE','SE-03','CM-01','Employ secure coding practices'),(1541,'SE','SE-03','CM-03','Employ secure coding practices'),(1542,'SE','SE-03','CM-03(02)','Employ secure coding practices'),(1543,'SE','SE-03','CM-04(01)','Employ secure coding practices'),(1544,'SE','SE-03','CM-05(02)','Employ secure coding practices'),(1545,'SE','SE-03','SA-03','Employ secure coding practices'),(1546,'SE','SE-03','SA-10(01)','Employ 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improve development practices'),(1646,'SE','SE-08','SA-04(02)','Operational monitoring and reporting to improve development practices'),(1647,'SE','SE-08','SA-04(08)','Operational monitoring and reporting to improve development practices'),(1648,'SE','SE-08','SA-08','Operational monitoring and reporting to improve development practices'),(1649,'SE','SE-08','SA-17','Operational monitoring and reporting to improve development practices'),(1650,'SE','SE-08','SC-02','Operational monitoring and reporting to improve development practices'),(1651,'SE','SE-08','SC-03(02)','Operational monitoring and reporting to improve development practices'),(1652,'SE','SE-08','SC-03(03)','Operational monitoring and reporting to improve development practices'),(1653,'SE','SE-08','SI-02','Operational monitoring and reporting to improve development practices'),(1654,'SE','SE-08','SI-03','Operational monitoring and reporting to improve development practices'),(1655,'SE','SE-08','SI-07','Operational monitoring and reporting to improve development practices'),(1656,'SE','SE-08','SI-10','Operational monitoring and reporting to improve development practices'),(1657,'SE','SE-08','SI-11','Operational monitoring and reporting to improve development practices'),(1658,'SE','SE-08','SI-16','Operational monitoring and reporting to improve development practices'),(1659,'SE','SE-08','PM-04','Operational monitoring and reporting to improve development practices'),(1660,'SE','SE-09','CM-01','Operational monitoring and reporting to improve deployment practices'),(1661,'SE','SE-09','CM-02','Operational monitoring and reporting to improve deployment practices'),(1662,'SE','SE-09','CM-02(01)','Operational monitoring and reporting to improve deployment practices'),(1663,'SE','SE-09','CM-02(02)','Operational monitoring and reporting to improve deployment practices'),(1664,'SE','SE-09','CM-03','Operational monitoring and reporting to improve deployment practices'),(1665,'SE','SE-09','CM-04(01)','Operational monitoring and reporting to improve deployment practices'),(1666,'SE','SE-09','CM-05(02)','Operational monitoring and reporting to improve deployment practices'),(1667,'SE','SE-09','CM-05(03)','Operational monitoring and reporting to improve deployment practices'),(1668,'SE','SE-09','CM-06','Operational monitoring and reporting to improve deployment practices'),(1669,'SE','SE-09','CM-06(01)','Operational monitoring and reporting to improve deployment practices'),(1670,'SE','SE-09','IR-05','Operational monitoring and reporting to improve deployment practices'),(1671,'SE','SE-09','IR-06','Operational monitoring and reporting to improve deployment practices'),(1672,'SE','SE-09','IR-06(01)','Operational monitoring and reporting to improve deployment practices'),(1673,'SE','SE-09','PL-08','Operational monitoring and reporting to improve deployment practices'),(1674,'SE','SE-09','RA-05','Operational monitoring and reporting to improve deployment 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deployment practices'),(1685,'SWAM','SWAM-01','CM-05(01)','Prevent unauthorized software from executing'),(1686,'SWAM','SWAM-01','CM-05(02)','Prevent unauthorized software from executing'),(1687,'SWAM','SWAM-01','CM-07','Prevent unauthorized software from executing'),(1688,'SWAM','SWAM-01','CM-07(01)','Prevent unauthorized software from executing'),(1689,'SWAM','SWAM-01','CM-07(02)','Prevent unauthorized software from executing'),(1690,'SWAM','SWAM-01','CM-07(04)','Prevent unauthorized software from executing'),(1691,'SWAM','SWAM-01','CM-07(05)','Prevent unauthorized software from executing'),(1692,'SWAM','SWAM-01','MA-03(02)','Prevent unauthorized software from executing'),(1693,'SWAM','SWAM-01','SA-12','Prevent unauthorized software from executing'),(1694,'SWAM','SWAM-01','SC-03','Prevent unauthorized software from executing'),(1695,'SWAM','SWAM-01','SC-18','Prevent unauthorized software from executing'),(1696,'SWAM','SWAM-01','SI-03','Prevent unauthorized software from executing'),(1697,'SWAM','SWAM-01','SI-03(01)','Prevent unauthorized software from executing'),(1698,'SWAM','SWAM-01','SI-03(02)','Prevent unauthorized software from executing'),(1699,'SWAM','SWAM-01','SI-07','Prevent unauthorized software from executing'),(1700,'SWAM','SWAM-02','CM-07(01)','Prevent or reduce execution of software from unauthorized installers'),(1701,'SWAM','SWAM-02','CM-07(02)','Prevent or reduce execution of software from unauthorized installers'),(1702,'SWAM','SWAM-02','CM-07(04)','Prevent or reduce execution of software from unauthorized installers'),(1703,'SWAM','SWAM-02','CM-07(05)','Prevent or reduce execution of software from unauthorized installers'),(1704,'SWAM','SWAM-02','CM-11','Prevent or reduce execution of software from unauthorized installers'),(1705,'SWAM','SWAM-02','SC-03','Prevent or reduce execution of software from unauthorized installers'),(1706,'SWAM','SWAM-03','CM-07','Prevent or reduce software execution from unauthorized location'),(1707,'SWAM','SWAM-03','CM-07(01)','Prevent or reduce software execution from unauthorized location'),(1708,'SWAM','SWAM-03','CM-07(02)','Prevent or reduce software execution from unauthorized location'),(1709,'SWAM','SWAM-03','CM-07(04)','Prevent or reduce software execution from unauthorized location'),(1710,'SWAM','SWAM-03','CM-07(05)','Prevent or reduce software execution from unauthorized location'),(1711,'SWAM','SWAM-03','SC-03','Prevent or reduce software execution from unauthorized location'),(1712,'SWAM','SWAM-03','SI-03','Prevent or reduce software execution from unauthorized location'),(1713,'SWAM','SWAM-04','CM-05(03)','Ensure or increase trust of system software at startup'),(1714,'SWAM','SWAM-04','CM-07(04)','Ensure or increase trust of system software at startup'),(1715,'SWAM','SWAM-04','CM-07(05)','Ensure or increase trust of system software at startup'),(1716,'SWAM','SWAM-04','CM-11','Ensure or increase trust of system software at startup'),(1717,'SWAM','SWAM-04','SI-03','Ensure or increase trust of system software at startup'),(1718,'SWAM','SWAM-04','SI-06','Ensure or increase trust of system software at startup'),(1719,'SWAM','SWAM-04','SI-07(01)','Ensure or increase trust of system software at startup'),(1720,'SWAM','SWAM-05','CM-08','Ensure completeness of device-level reporting'),(1721,'SWAM','SWAM-05','CM-08(01)','Ensure completeness of device-level reporting'),(1722,'SWAM','SWAM-06','CM-08','Ensure completeness of defect-check-level reporting'),(1723,'SWAM','SWAM-06','CM-08(02)','Ensure completeness of defect-check-level reporting'),(1724,'SWAM','SWAM-06','CM-08(03)','Ensure completeness of defect-check-level reporting'),(1725,'SWAM','SWAM-07','CM-08','Increase overall reporting completeness'),(1726,'SWAM','SWAM-07','CM-08(01)','Increase overall reporting completeness'),(1727,'SWAM','SWAM-07','CM-08(03)','Increase overall reporting completeness'),(1728,'SWAM','SWAM-07','SI-03','Increase overall reporting 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approval'),(1741,'SWAM','SWAM-10','CM-04','Prevent or reduce (careless or malicious) software approval'),(1742,'SWAM','SWAM-10','CM-07(02)','Prevent or reduce (careless or malicious) software approval'),(1743,'SWAM','SWAM-10','SI-03','Prevent or reduce (careless or malicious) software approval'),(1744,'SWAM','SWAM-10','SI-03(02)','Prevent or reduce (careless or malicious) software approval'),(1745,'SWAM','SWAM-10','SI-07','Prevent or reduce (careless or malicious) software approval'),(1746,'SWAM','SWAM-11','CM-03(01)','Promptly determine and address needed installation and deinstallation of software'),(1747,'SWAM','SWAM-11','CM-07(02)','Promptly determine and address needed installation and deinstallation of software'),(1748,'SWAM','SWAM-11','SI-07','Promptly determine and address needed installation and deinstallation of software'),(1749,'SWAM','SWAM-11','SI-07(02)','Promptly determine and address needed installation and deinstallation of 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INSERT INTO `security_control` VALUES (1,'AC-01','Access Control','Access Control Policy and Procedures ','P1','High; Moderate; Low','The organization:a. Develops, documents, and disseminates to applicable personnel:  1. An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and  2. Procedures to facilitate the implementation of the access control policy and associated access controls; and b. Reviews and updates (as necessary) the current:   1. Access control policy at least every three (3) years; and  2. Access control procedures at least every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or, conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAccess Control policies and procedures form the foundation that allows privacy protections to be implemented for the identified uses of personally identifiable information (PII) and protected health information (PHI). Privacy requirements commonly use the terms “adequate security” and “confidentiality” when referring to access controls and other security safeguards for PII. Applied together, these terms signify the need to make risk-based decisions based on the magnitude of harm (to both organizations and individuals) when determining applicable restrictions for PII. For this overlay, refer to the definitions of “adequate security” in OMB Circular A-130, Appendix III, and “confidentiality” in NIST SP 800-37, Rev. 1, Appendix B. These definitions are consistent with Committee for National Security Systems Instruction (CNSSI) No. 4009.\r\n\r\n',' PM-9, AR-4, AR-7'),(2,'AC-02','Access Control','Account Management ','P1','High; Moderate; Low','The organization: a. Identifies and selects the following types of information system accounts to support organizational missions/business functions: individual, group, system, application, guest/anonymous, emergency, and temporary; b. Assigns account managers for information system accounts; c. Establishes conditions for group and role membership; d. Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account; e. Requires approvals by defined personnel or roles (defined in the applicable security plan) for requests to create information system accounts; f. Creates, enables, modifies, disables, and removes information system accounts in accordance with Security Controls (SC) requirements and Risk Management Handbook (RMH) standards and procedures; g. Monitors the use of information system accounts; h. Notifies account managers:   1. When accounts are no longer required;   2. When users are terminated or transferred; and   3. When individual information system usage or need-to-know changes; i. Authorizes access to the information system based on:   1. A valid access authorization;   2. Intended system usage; and   3. Other attributes as required by the organization or associated missions/business functions; j. Reviews accounts for compliance with account management requirements at least every 90 days for High and Moderate systems or 365 days for Low systems; and k. Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.\r\n\r\n','Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or CISO) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAccount management is a critical function for developing and implementing an access control framework that is appropriate for the information contained in systems and applications. When implemented effectively, the access control framework provides the necessary constructs for controlling access to PII, limiting disclosure of records about individuals to only those system and application users that have a need for the information to perform their job functions. The purpose of this guidance is to establish requirements for user access to PHI and PII.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe identification of authorized users and access privileges include considerations of whether the user will need access to PHI and whether such access may be permitted or required under HIPAA. The purpose of this guidance is to establish requirements for user access to PHI. Organizations should establish procedures for obtaining necessary electronic protected health information, to include during an emergency.\r\n\r\n',' AC-3, AC-4, AC-5, AC-6, AC-10, AC-16, AC-17, AC-19, AC-20, AU-9, CM-5, CM-6, CM-11, IA-2, IA-4, IA-5, IA-8, MA-3, MA-4, MA-5, PL-4, SC-13'),(3,'AC-02(01)','Access Control','Automated Information System Account Management ','P1','High; Moderate','The organization employs automated mechanisms to support the management of information system accounts.\r\n\r\n','The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated, transferred, or change their role; using the information system to monitor account usage; and using telephonic notification to report atypical information system account usage.\r\n\r\n',' '),(4,'AC-02(02)','Access Control','Removal of Temporary/Emergency Accounts ','P1','High; Moderate','The information system automatically disables emergency accounts within 24 hours; and temporary accounts with a fixed duration not to exceed 30 days for High systems and 60 days for Moderate systems.\r\n\r\n','This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period has elapsed, rather than at the convenience of the systems administrator.\r\n\r\n',' '),(5,'AC-02(03)','Access Control','Disable Inactive Accounts ','P1','','The information system automatically disables inactive accounts within 30 days for High Systems or 60 days for Moderate Systems.\n\n','None.\n\n',' '),(6,'AC-02(04)','Access Control','Automated Audit Actions ','P1','High; Moderate','The information system automatically audits account creation, modification, enabling, disabling, and removal actions and notifies defined personnel or roles (defined in the applicable security plan).\r\n\r\n','Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' AU-2, AU-12'),(7,'AC-02(05)','Access Control','Inactivity Logout ','P1','High','The organization requires that users log out when the time-period of inactivity exceeds 90 minutes and at the end of the user’s normal work period.\r\n\r\n','This control enhancement is behavior/policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period.\r\n\r\n',' SC-23'),(8,'AC-02(09)','Access Control','Non-Mandatory: Restrictions on Use of Shared Groups/Accounts ','P3','','The organization only permits the use of shared/group accounts when a business need can be documented and approved, in advance, by the Authorizing Official (AO). a. When shared/group accounts are used, the applicable System Security Plan (SSP) must: 1. Describe how the shared/group accounts are used; and 2. Include compensating processes and procedures implemented to provide the ability to uniquely attribute account user activities.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization only permits the use of shared/group accounts that meet the requirement to uniquely attribute user activity to an account.\r\n\r\n','Shared/group accounts do not provide the necessary accountability (such as non-repudiation) required to log and monitor access to sensitive information nor do they permit identification of individuals who have a need for access. Shared/group accounts also do not provide audit trails capable of associating a user with an action—eliminating the ability to establish non-repudiation. (Non-repudiation is a critical element of accountability and accuracy of information in systems, database or system history, and related logs and is important for investigating privacy incidents and breaches.)Refer to RMH for account management process and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAccess to PII is more effectively controlled when access controls are considered during system design and built-into or enforced by the system (i.e., automated controls).Shared/group accounts that do not allow for uniquely attributing user activities should not be used for information systems that contain PII or PHI. Shared/group accounts do not allow for the necessary accountability (such as non-repudiation) required to log and monitor access to PII and PHI nor do they permit identification of individuals who have a need for access. Shared/group accounts do not permit audit trails to associate a user with an action, eliminating the ability to establish non-repudiation. Non-repudiation is a critical element of accountability and accuracy of information in systems, database or system history, and related logs and is important for investigating privacy incidents and breaches.\r\n\r\n',' AC-14, AR-4'),(9,'AC-02(10)','Access Control','Non-Mandatory: Shared/Group Account Credential Termination ','P3','','The information system updates shared/group account credentials when members leave the group.\r\n\r\n','This control enhancement is intended to ensure that former group members do not retain access to the shared/group account.\r\n\r\n',' '),(10,'AC-02(11)','Access Control','Usage Conditions ','P1','High','The information system enforces organizationally-defined usage conditions and/or circumstances (as defined in the applicable security plan) for organizationally-defined information system accounts.\r\n\r\n','Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.\r\n\r\n',' '),(11,'AC-02(12)','Access Control','Account Monitoring/Atypical Usage ','P1','High','The organization: a. Monitors information system accounts for atypical use; and b. Reports atypical usage of information system accounts to defined personnel or roles (defined in the applicable security plan), and if necessary, incident response team.\r\n\r\n','Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.\r\n\r\n',' CA-7'),(12,'AC-02(13)','Access Control','Disable Accounts for High-Risk Individuals ','P1','High','The organization disables accounts of users posing a significant risk immediately, not to exceed 30 minutes after discovery of the risk. If this control is selected for systems other than High, a 60-minute window should be used.\r\n\r\n','Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between AOs, information system administrators, and HR managers is essential for timely execution of this control enhancement.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nDisabling accounts for high-risk individuals is a minimum requirement for the organization’s rules of behavior because of abusing access privileges to sensitive information, including information protected under the Privacy Act of 1974.\r\n\r\n',' PS-4'),(13,'AC-03','Access Control','Access Enforcement ','P1','High; Moderate; Low','The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization controls access to PII through access enforcement mechanisms.\r\n\r\n','Access control policies (e.g., identity-based policies, role-based policies, attribute-based policies) and access enforcement mechanisms (e.g., access control lists, access control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.For minimum authentication requirements, refer to RMH, Volume III, Standard 3.1, COSA Authentication Standards.Well-designed, automated access controls (e.g., mandatory access control [MAC], discretionary access control [DAC], role-based access control [RBAC], or attribute-based access control [ABAC]) limit user access to information per defined access policies, which helps ensure the security and confidentiality of sensitive information contained in the system.FIPS 140-2 validation certificate numbers are listed at:  HYPERLINK \"http://csrc.nist.gov/groups/STM/cmvp/documents/140-1/140val-all.htm\" \r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWell-designed, automated access controls (e.g., MAC, DAC, RBAC, or ABAC limit user access to information per defined access policies, which helps ensure the security and confidentiality of the sensitive information, such as PII and PHI, contained in the system. For example, implement role-based access controls and configure access controls so that each user can access only the pieces of information necessary for the user’s role or only permit users to access PII through an application that restricts their access to the PII the users require, instead of allowing users direct access to a database or files containing PII.\r\n\r\n',' AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC-22, AU-9, CM-5, CM-6, CM-11, MA-3, MA-4, MA-5, PE-3'),(14,'AC-03(09)','Access Control','Non-Mandatory: Controlled Release ','P3','','The information system does not release information outside of the established system boundary unless:a. The receiving external organization (i.e., department, agency, or commercial entity not managed by COSA) provides information security and privacy safeguards commensurate with those implemented by COSA; andb. COSA-defined information security and privacy safeguards are used to validate the appropriateness of the information designated for release.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe information system does not release information outside of the established system boundary unless:  a. The receiving organization or information system provides privacy and security controls commensurate with the PII confidentiality impact level of the PII being received; and  b. Controls UL-1 and UL-2 are used to validate the appropriateness of the information designated for release.\r\n\r\n','Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to determine the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of an information system or organization.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPII released outside a system boundary may be at increased risk for unauthorized access and use (i.e., a breach). Such release could include a formal process or an informal activity, such as a spreadsheet receiving data extracted from an information system.Applicable policy mandates establishing policy regarding access to PII, including PHI, are the Privacy Act of 1974, E-Government Act of 2002 (Section 208), and HIPAA.\r\n\r\n',' AC-21, UL-1, UL-2'),(15,'AC-04','Access Control','Information Flow Enforcement ','P1','High; Moderate','The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy.\r\n\r\n','Information flow control regulates where information can travel within an information system and between information systems (as opposed to who can access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regarding mechanisms to reassign security attributes and security labels.Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. NIST SP 800-53 control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial-off-the-shelf (COTS) information technology products.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe information flow enforcement controls provide a technical means of implementing disclosure requirements by minimizing information shared between networks, devices, and individuals within information systems and between interconnected systems. This control can also limit information transfers between organizations based on data structures and content.\r\n\r\n',' AC-3, AC-16, AC-17, AC-19, AC-21, CM-6, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18'),(16,'AC-04(08)','Access Control','Non-Mandatory: Security Policy Filters ','P3','','The information system enforces information flow control using organizationally-defined security policy filters as a basis for flow control decisions for prevention of unauthorized transfer of PII across information system boundaries or domains.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe information system enforces information flow control using best available security policy filters, or like technology to filter on selected PII values as a basis for flow control decisions for prevention of unauthorized transfer of PII across information system boundaries or domains.\r\n\r\n','Organization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non-language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSecurity policy filters, or like technology, such as data loss prevention (DLP), can provide a form of continuous monitoring for compliance with privacy laws and regulations. Implementation of this security control reduces the potential for unauthorized transfer of PII.\r\n\r\n',' '),(17,'AC-04(12)','Access Control','Non-Mandatory: Data Type Identifiers','P3','','The information system, when transferring information between different security domains, uses COSA-defined data type identifiers to validate data essential for information flow decisions.\r\n\r\n','Data type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.Additional guidance on security domains can be found in NIST SP 800-37, as amended, and NIST SP 800-53. NIST defines a security domain as a domain that implements a security policy and is administered by a single authority.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nEnsure that the minimum-security controls identified in this overlay for PHI are in place to protect the data before transferring data between security domains. The confidentiality of PHI is better protected when a system can automatically detect data types and usage when being transferred from one security domain to another. This includes, for example, transfers between systems having different access controls with only a limited set of users allowed access to the PHI.\r\n\r\n',' '),(18,'AC-04(15)','Access Control','Non-Mandatory: Detection of Unsanctioned Information ','P3','','The information system, when transferring information between different security domains, examines the information for the presence of unsanctioned information and prohibits the transfer of such information in accordance with the COSA information security and privacy policy.\r\n\r\n','Detection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words. Additional guidance on security domains can be found in NIST SP 800-37, as amended, and NIST SP 800-53. NIST defines a security domain as a domain that implements a security policy and is administered by a single authority.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTo provide the ability for an organization to monitor and prevent transfer of PII across different security domains, a system needs to have mechanisms to automatically detect, and where appropriate, prohibit the unauthorized transfer of PII across different security domains. Typical implementations of such controls will detect data types or metadata tagging and act to prevent the transfer of the information beyond the intended boundaries.The organization ensures systems containing moderate and high PII confidentiality impact level information include the capability for the organization to centrally monitor for and detect unauthorized transfer of such PII across different security domains. Some technologies that would facilitate this include data-loss prevention, data-rights management, and key-word detection to prevent the unauthorized export of information from a network or to render such information unusable in the event of the unauthorized export of such information between security domains.\r\n\r\n',' SI-3'),(19,'AC-04(17)','Access Control','Non-Mandatory: Domain Authentication ','P3','','The information system uniquely identifies and authenticates source and destination points by organization, system, application, and/or individual for information transfer.\r\n\r\n','Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe ability to identify source and destination points for PII flow within information systems is necessary for attribution and compliance with need to know requirements. Implement a higher level of granularity for identification and authentication based on sensitivity of the PII. This is not to determine permissibility of the transfer but to enable an audit capability.\r\n\r\n',' IA-2, IA-3, IA-4, IA-5'),(20,'AC-04(18)','Access Control','Non-Mandatory: Security Attribute Binding ','P3','','The information system binds security attributes to information using COSA approved processes and procedures to facilitate information flow policy enforcement.\r\n\r\n','Binding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.Binding security attributes is the process of associating (i.e., binding) security attributes to information within information systems to facilitate automated access enforcement and flow enforcement actions. See AC-16 for additional information.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTo have a high level of trust in the information flow of sensitive information such as PII, this control ensures the security attributes selected in AC-16 are bound to the information.To ensure the protection of PII throughout its information flow, this control should be used to protect PII as it travels within and among information systems and information system components, such as database servers, application servers, shared storage environments, document repositories, and file folders.\r\n\r\n',' AC-16, SC-16'),(21,'AC-05','Access Control','Separation of Duties ','P1','High; Moderate; Low','The organization: a. Separates duties of individuals as necessary (defined in the applicable security plan), to prevent malicious activity without collusion; b. Documents separation of duties; and c. Defines information system access authorizations to support separation of duties.\r\n\r\nSystems defined as CSPs:\r\n\r\nFor CSPs, the information system enforces role-based access control policies over all subjects and objects where the policy specifies that: a. The policy is uniformly enforced across all subjects and objects within the boundary of the information system; andb. A subject that has been granted access to information is constrained from doing any of the following;  1. Passing the information to unauthorized subjects or objects;  2. Granting its privileges to other subjects;  3. Changing one or more security attributes on subjects, objects, the information system, or information system components;  4. Choosing the security attributes and attribute values to be associated with newly created or modified objects; or  5. Changing the rules governing access control.\r\n\r\n','Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.Separation of duties aligns privileges with appropriate roles with the idea that duties are split between roles in such a way as to reduce the risk of malevolent or inappropriate behaviors based on access. Implementing this control helps reduce the risk of inappropriate access to sensitive information (e.g., separating employees that perform security investigations from mission and business functions).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSeparation of duties aligns privileges with appropriate roles with the idea that duties are split between roles in such a way as to reduce the risk of malevolent or inappropriate behaviors based on access. Implementing this control helps reduce the risk of inappropriate access to PII (e.g., separating employees that perform security investigations from mission and business functions).Separation of duties is implemented by designating a selected set of administrators the capability to set user permissions to PII and PHI information, while those administrators do not themselves have access to the PII and PHI. The principle of separation of duties is significant for developers as well as for operational system administrators.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nHIPAA requires the separation of duties to ensure that checks and balances are designed into the system to limit the effect of any given end user to control the entire process. Roles and responsibilities should be divided so that a single end user cannot subvert a critical process. This practice divides the tasks related to maintaining system security among different personnel such that no single individual could compromise PHI.\r\n\r\n',' AC-3, AC-6, PE-3, PE-4, PS-2'),(22,'AC-06','Access Control','Least Privilege ','P1','High; Moderate','The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with COSA missions and business functions.\r\n\r\n','Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.The concept of least privilege aligns with the notion of only allowing access to sensitive information when an individual has a need-to-know in performance of their job duties.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe concept of least privilege aligns with the notion of only allowing access to PII when an individual has a need-to-know in performance of their job duties.The organization enforces the most restrictive set of rights/privileges or access needed by users (or processes acting on behalf of users) for the performance of specified tasks —increasing the level of restriction as PII confidentiality impact level rises. The organization ensures that users who must access records containing PII only have access to the minimum amount of PII, along with only those privileges (e.g., read, write, execute) necessary to perform their assigned tasks.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nHIPAA requires least privilege to satisfy both the Minimum Necessary Rule and security safeguards.\r\n\r\n',' AC-2, AC-3, AC-5, CM-6, CM-7, PL-2'),(23,'AC-06(01)','Access Control','Authorize Access to Security Functions ','P1','High; Moderate','At a minimum, the organization explicitly authorizes access to the following list of security functions (deployed in hardware, software, and firmware) and security-relevant information: a. Setting/modifying audit logs and auditing behavior; b. Setting/modifying boundary protection system rules; c. Configuring/modifying access authorizations (i.e., permissions, privileges); d. Setting/modifying authentication parameters; and e. Setting/modifying system configurations and parameters.\r\n\r\n','Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nLimiting access to security functions to authorized personnel reduces the number of users able to perform certain security functions, such as configuring access permissions, setting audit logs, performing system management functions. Examples of authorized personnel include security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users. These types of security functions can provide a level of access to PII, and capabilities to manipulate it, in ways that other users’ roles typically could not.The organization identifies the security relevant functions that require authorized access for all information systems that contain moderate or high PII confidentiality impact level information.\r\n\r\n',' AC-17, AC-18, AC-19'),(24,'AC-06(02)','Access Control','Non-Privileged Access for non-security Functions ','P1','High; Moderate','At a minimum, the organization requires that users of information system accounts, or roles, with access to the following list of security functions or security-relevant information, use non-privileged accounts, or roles, when accessing other system functions, and if feasible, audits any use of privileged accounts, or roles, for such functions: a. Setting/modifying audit logs and auditing behavior; b. Setting/modifying boundary protection system rules; c. Configuring/modifying access authorizations (i.e., permissions, privileges); d. Setting/modifying authentication parameters; and e. Setting/modifying system configurations and parameters.\r\n\r\n','This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as RBAC and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control requires system users with elevated privileges to use their non-privileged accounts when performing non-security functions. Requiring system users to use their non-privileged accounts when working with PII for purposes other than security functions limits inadvertent access to or disclosure of PII and protects the integrity of PII.Any access involving PII that is non-administrative in nature should require the user to use their non-privileged accounts to perform that function.\r\n\r\n',' PL-4'),(25,'AC-06(03)','Access Control','Network Access to Privileged Commands ','P1','High','The organization authorizes network access to privileged commands only for compelling operational needs as defined in the System Security Plan and documents the rationale for the information system.\r\n\r\n','Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device). Examples include:- Setting/modifying audit logs and auditing behavior;- Setting/modifying boundary protection system rules;- Configuring/modifying access authorizations (i.e., permissions, privileges); - Setting/modifying authentication parameters; and- Setting/modifying system configurations and parameters.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis controls restricts network access (i.e., access across a network connection as opposed to local access, such as being physically present at a device to access) to perform privileged commands.\r\n\r\n',' AC-17'),(26,'AC-06(05)','Access Control','Privileged Accounts ','P1','High; Moderate','The organization restricts privileged accounts on the information system to personnel or roles (as defined in the security plan).\r\n\r\n','Privileged accounts, including super user accounts, are typically described as system administrator for various types of COTS operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control limits who is authorized to administrative accounts, such as those who can perform security functions, which include configuring access permissions, setting audit logs and performing system management functions. These types of system and network management personnel typically have a level of access that is capable of circumventing other access controls. Limiting access to these accounts further protects sensitive information by limiting the number of individuals that have the “keys to the kingdom” on a network or system.\r\n\r\n',' CM-6'),(27,'AC-06(07)','Access Control','Non-Mandatory: Review of User Privileges ','P3','','The organization:a. Reviews the privileges assigned to defined personnel or roles defined in the applicable security plan every 90 days to validate the need for such privileges; andb. Reassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.\r\n\r\n','The need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nReview of user privileges is necessary to ensure privileges are revoked for those who no longer require access to sensitive information. Implementation of this control reduces the risk of unauthorized access to sensitive information by users who no longer need access to perform their job functions.\r\n\r\n',' CA-7'),(28,'AC-06(09)','Access Control','Auditing Use of Privileged Functions ','P1','High; Moderate','The information system audits the execution of privileged functions.\r\n\r\n','Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (BYOD).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPrivileged functions have elevated permissions to access, and grant access, to sensitive information. Accountability requires the ability to detect, trace, and audit a privileged function whenever it is executed.\r\n\r\n',' AU-2'),(29,'AC-06(10)','Access Control','Prohibit Non-Privileged Users from Executing Privileged Functions ','P1','High; Moderate','The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.\r\n\r\n','Privileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nNon-privileged users may not have the same level of trust as privileged users. Privileged functions have access beyond that of the typical user, and as such may have greater ability to access sensitive information. Individual accountability requires the ability to trace (audit) the actions of the user who initiated them.\r\n\r\n',' '),(30,'AC-07','Access Control','Unsuccessful Logon Attempts ','P2','High; Moderate; Low','The information system: a. Enforces the limit of consecutive invalid login attempts by a user specified in Implementation Standard 1 during the time period specified in Implementation Standard 1; and b. Automatically disables or locks the account/node until released by an administrator or after the time period specified in Implementation Standard 1 when the maximum number of unsuccessful attempts is exceeded.\r\n\r\n','This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.\r\n\r\n',' AC-2, AC-9, AC-14, IA-5'),(31,'AC-08','Access Control','System Use Notification ','P1','High; Moderate; Low','The information system: a. Displays an approved system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The approved banner states:   * This warning banner provides privacy and security notices consistent with applicable federal laws, directives, and other federal guidance for accessing this Government system, which includes (1) this computer network, (2) all computers connected to this network, and (3) all devices and storage media attached to this network or to a computer on this network.  * This system is provided for Government authorized use only.  * Unauthorized or improper use of this system is prohibited and may result in disciplinary action and/or civil and criminal penalties.  * Personal use of social media and networking sites on this system is limited as to not interfere with official work duties and is subject to monitoring.  * By using this system, you understand and consent to the following:     - The Government may monitor, record, and audit your system usage, including usage of personal devices and email systems for official duties or to conduct HHS business. Therefore, you have no reasonable expectation of privacy regarding any communication or data transiting or stored on this system. At any time, and for any lawful Government purpose, the government may monitor, intercept, and search and seize any communication or data transiting or stored on this system.     - Any communication or data transiting or stored on this system may be disclosed or used for any lawful Government purposeb. Retains the notification message or banner on the screen until users take explicit actions to log on to or further access the information system; and c. For publicly accessible systems:   1. Displays system use information when appropriate, before granting further access;   2. Displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and   3. Includes a description of the authorized uses of the system.\r\n\r\n','The warning banner language has very important legal implications for COSA and its information system resources. Should content need to be added to this banner, submit the modified warning banner language to the COSA CIO for review and approval prior to implementation. If an information system has character limitations related to the warning banner display, the COSA CIO can provide an abbreviated warning banner version. If this banner is inconsistent with any directives, policies, regulations, or standards, notify the COSA CIO immediately.All information system computers and network devices under COSA control, prominently display the notice and consent banner immediately upon users’ authentication to the system, including, but not limited to, websites, web pages where substantial personal information from the public is collected, Secure File Transfer Protocol (SFTP), Secure Shell (SSH), or other services accessed.System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSystem use notification (e.g., logon banner) does not satisfy the requirement for Privacy Act Statements or Privacy Act system of records notice, when applicable; see TR-1 and TR-2. System use notifications are the primary, interactive vehicle for notifying system users prior to accessing a system of the organization’s monitoring practices and reminding users that unauthorized use is both prohibited and subject to criminal and civil penalties. The system use notification requires explicit action from the system user to acknowledge the notice before they can enter the system. Notices on system use are principally intended to convey information regarding consent to monitor (and other security-relevant information). These notices may also be, in some instances, an appropriate means to remind system users that the system being accessed contains sensitive PII and requires due care (e.g., a logon banner on an employee management system).\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nNote that System Use Notification does not satisfy the requirement for privacy notice under the HIPAA Privacy Rule.\r\n\r\n',' TR-1, TR-2'),(32,'AC-09','Access Control','Non-Mandatory: Previous Logon ','P3','','When supported by the underlying operating system, the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).\r\n\r\n','This control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).\r\n\r\n',' AC-7, CA-7(1), PL-4'),(33,'AC-09(01)','Access Control','Non-Mandatory: Unsuccessful Logons ','P3','','When supported by the underlying operating system, the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.\r\n\r\n','Due to the possibility that an unauthorized person could logon to a system or application using an authorized person’s logon account, all systems and applicable applications will provide an automated method of notifying the authorized user of the last successful logon date and time, and the number of previously unsuccessful logon attempts. It is important that training include reporting procedures and responsibility for authorized users to report unauthorized logons and unauthorized attempts to logon.\r\n\r\n',' '),(34,'AC-10','Access Control','Concurrent Session Control ','P3','High','The information system limits the number of concurrent sessions for each system account to one (1) session for both normal and privileged users. The number of concurrent application/process sessions is limited and enforced to the number of sessions expressly required for the performance of job duties and any requirement for more than one (1) concurrent application/process session is documented in the security plan.\r\n\r\n','Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.A session is defined as an encounter between an end-user interface device (e.g., computer, terminal, process) and an application, including a network logon. One user session is the time between starting the application and quitting. Some systems may require concurrent user sessions to function properly. However, based on the operational needs, automated mechanisms limit the number of concurrent user sessions. It is good practice to have management’s approval for any system to have user concurrent sessions. Management should review the need for user concurrent sessions within every three hundred sixty-five (365) days.\r\n\r\n',' '),(35,'AC-11','Access Control','Session Lock ','P3','High; Moderate','The information system: a. Prevents further access to the system by initiating a session lock after fifteen (15) minutes of inactivity (for both remote and internal access connections) or upon receiving a request from a user; and b. Retains the session lock until the user reestablishes access using established identification and authentication procedures.\r\n\r\n','Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.This control protects sensitive information from unauthorized access when system users are away from their workstation. Since 2007, OMB has required session lock for remote and mobile devices, a standard which is neither technically nor financially burdensome. Based on risk, many agencies have adopted 15-minute session locks by policy as a best practice.Remote connections, as defined under AC-17, originate from outside the system boundary. Internal connections originate within the system boundary.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control protects personally identifiable information (PII) from unauthorized access when system users are away from their workstation. Since 2007, OMB has required session lock for remote and mobile devices, a standard which is neither technically nor financially burdensome. Based on risk, many agencies have adopted 15-minute session locks by policy as a best practice.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' AC-7'),(36,'AC-11(01)','Access Control','Pattern-Hiding Displays ','P3','High; Moderate','The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.\r\n\r\n','Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images conveys sensitive information.\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nPublicly viewable images can be easily implemented under Information as a Service (IaaS) and Platform as a Service (PaaS) based environments.\r\n\r\n',' '),(37,'AC-12','Access Control','Session Termination ','P2','','The information system automatically terminates a user session after defined conditions or trigger events (defined in the applicable security plan) requiring session disconnect.\n\n','This control addresses the termination of user-initiated logical sessions in contrast to SC-10, which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user’s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.\n\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\n\nThe session termination control requires implementing functionality to prevent unauthorized use of an established user session. This control protects sensitive information from unauthorized access when system users have initiated a session.\n\nGuidance for systems processing, storing, or transmitting PHI:\n\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\n\n',' SC-10, SC-23'),(38,'AC-14','Access Control','Permitted Actions Without Identification or Authentication ','P3','High; Moderate; Low','The organization: a. Identifies specific user actions that can be performed on the information system without identification or authentication; b. Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication; and c. Configures Information systems to permit public access only to the extent necessary to accomplish mission objectives, without first requiring individual identification and authentication.\r\n\r\n','This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication, including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIndividual accountability requires the ability to trace (audit) the actions of the user who initiated them when accessing personally identifiable information (PII). Therefore, un-identified and un-authenticated users must not access PII.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nIndividual accountability requires the ability to trace (audit) the actions of the user who initiated them when accessing PHI.  Therefore, un- identified and un-authenticated users must not access PHI.\r\n\r\n',' AC-2(9), CP-2, IA-2'),(39,'AC-16','Access Control','Non-Mandatory: Security Attributes ','P3','','The organization: a. Provides the means to associate CCIC-defined security attributes having defined security attribute values with information in storage, in process, and/or in transmission; b. Ensures that the security attribute associations are made and retained with the information; c. Establishes the permitted CCIC-defined security attributes for COSA information systems; and d. Determines the permitted CCIC-defined values or ranges for each of the established security attributes.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization provides the means to associate the following with information in storage, in process, and/or in transmission:a. A security attribute to demonstrate the user (subject) has completed privacy training in the last year; andb. For data structures that are known or plan to contain personally identifiable information (PII), a security attribute of “Contains PII” [having] value of “yes” or “no.”\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization provides the means to associate a security attribute of “Contains PHI” for data structures that are known or plan to contain PHI having value of “yes” or “no” with information in storage, in process, and/or in transmission.\r\n\r\n','Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information.Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 control represents the requirement for user-based attribute association (marking). The control enhancements to AC-16 represent additional requirements, including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both attribute types is Top Secret.Contact your CRA or the CCIC for the list of currently defined security attributes, values, and ranges.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nImplementation of this control provides a technical means to enforce security and privacy policies, e.g., access controls and encryption. Parameter values specified by the Privacy Overlays for this control include meta-data that supports privacy.Using the security attributes listed in this control’s parameter values section enables cross system functionality and reciprocity through consistent security attribute interpretation. This control supports privacy protections by assigning security attributes that characterize information, devices, or processes (i.e., an “object”) as containing PII or associate an organization’s mandatory security/privacy training requirement with a user (i.e., a “subject”) of an information system containing PII. The terms “Subject” and “Object” are defined in NIST SP 800-53, Rev. 4, Appendix B, Glossary. Security attributes are meta-data about either a subject or an object. Other security attributes may exist for other requirements beyond privacy. If an organization creates security attributes it should be cognizant of the risk associated with including PII in that meta-data. However, PII is not included in the security attributes for the parameter values specified below.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe parameter values for PHI enable policies, procedures, and data classification schemas that specify the application of administrative, technical, physical controls of a specific workstation or class of workstation that maintains electronic PHI.\r\n\r\n',' AC-2, AC-3, AC-4, AC-4(15), AC-4(18), AC-6, AC-21, AU-2, AU-10, SC-16, MP-3'),(40,'AC-16(03)','Access Control','Non-Mandatory: Maintenance of Attribute Associations by Information System ','P3','','The information system maintains the association and integrity of organizationally-defined security attributes to organizationally-defined subjects and objects.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe information system maintains the association and integrity of a. The user attribute of “Annual PII Training” to individuals with access to personally identifiable information (PII); andb. the information attribute of “Contains PII” to applicable information.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe information system maintains the association and integrity of the information attribute of “Contains PHI” to applicable information.\r\n\r\n','Maintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTo use automated systems controls for PII and protected health information (PHI) objects, such as intrusion detection and key-word detection tools, maintaining the association and integrity of security attributes to subjects and objects can be used as the basis of automated policy actions. \r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nImplement policies, procedures, and data classification schemas that specify the way the physical, technical, and security attributes of the surroundings of a specific workstation or class of workstation that can access electronic PHI.\r\n\r\n',' AC-4, AC-4(15), AC-4(18)'),(41,'AC-17','Access Control','Remote Access ','P1','High; Moderate; Low','The organization monitors for unauthorized remote access to the information system (including access to internal networks by VPN). Remote access for privileged functions must be permitted only for compelling operational needs, must be strictly controlled, and must be explicitly authorized, in writing, by the CIO or his/her designated representative. If remote access is authorized, the organization: a. Establishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and b. Authorizes remote access to the information system prior to allowing such connections. c. Access to HHS Webmail using personally owned equipment is authorized. Access to other systems/networks using personally-owned equipment is prohibited without written authorization from the CIO, or an approved policy allowing the use of personally-owned equipment: 1. Personally-owned equipment must be scanned before being connected to COSA (and HHS) systems or networks to ensure compliance with COSA requirements; and 2. Personally-owned equipment must be prohibited from processing, accessing, or storing Department sensitive information unless it is approved in writing by the COSA SOP and employs COSA required encryption (FIPS 140-2 validated module).\r\n\r\n','Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted VPNs to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs, does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.For minimum authentication requirements, refer to RMH, Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nLimiting access to personally identifiable information (PII) from remote networks and/or restricting activities that can be conducted with PII remotely reduces the risk of intentional and unintentional disclosures of PII that may not exist on an internal network.Allow remote access to PII only with two-factor authentication where one of the factors is provided by a device separate from the computer gaining access.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nImplement technical security measures to guard against unauthorized remote access to electronic PHI that is being transmitted over an electronic communications network.\r\n\r\n',' AC-2, AC-3, AC-18, AC-19, AC-20, CA-3, CA-7, CM-8, IA-2, IA-3, IA-8, MA-4, PE-17, PL-4, SC-10, SI-4'),(42,'AC-17(01)','Access Control','Automated Monitoring/Control ','P1','High; Moderate','The information system monitors and controls remote access methods.\r\n\r\n','Automated monitoring and control of remote access sessions allows organizations to detect cyber-attacks and ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).Auditing remote access ensures unauthorized connections to information systems containing sensitive information can be detected across all information system platforms (e.g., servers, mobile devices, work stations).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAuditing remote access ensures unauthorized connections to information systems containing personally identifiable information (PII) can be detected across all information system platforms (e.g., servers, mobile devices, work stations).Audit all remote access to, and actions on, resources containing PII.\r\n\r\n',' AU-2, AU-12'),(43,'AC-17(02)','Access Control','Protection of Confidentiality/Integrity Using Encryption ','P1','High; Moderate','The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.\r\n\r\n','The encryption strength of a mechanism is selected based on the security categorization of the information. Use only the COSA-approved encryption standard (see SC-13).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nEncrypting remote sessions protects the confidentiality and integrity of sensitive information.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' SC-8, SC-12, SC-13'),(44,'AC-17(03)','Access Control','Managed Access Control Points ','P1','High; Moderate','The information system routes all remote accesses through a limited number of managed access control points. The organization must identify acceptable network access control points (e.g., connections standardized through the TIC initiative).\r\n\r\n','Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the TIC initiative requirements for external network connections.\r\n\r\n',' SC-7'),(45,'AC-17(04)','Access Control','Privileged Commands/Access ','P1','High; Moderate','The organization: a. Authorizes the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs; and b. Documents the rationale for such access in the security plan for the information system.\r\n\r\n','None.\r\n\r\n',' AC-6'),(46,'AC-17(09)','Access Control','Disconnect/Disable Access ','P1','High; Moderate; Low','The organization provides the capability to expeditiously disconnect or disable remote access to the information system within one (1) hour.\r\n\r\n','This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.COSA Business Owners are to ensure that required Interconnection Security Agreements (ISA) and Memoranda of Understanding (MOU) are established and that they state the interconnections may be terminated or suspended by COSA unilaterally based solely on COSA’ interpretation of the risk.\r\n\r\n',' '),(47,'AC-18','Access Control','Wireless Access ','P1','High; Moderate; Low','The organization monitors for unauthorized wireless access to information systems and prohibits the installation of wireless access points (WAP) to information systems unless explicitly authorized, in writing, by the COSA CIO or his/her designated representative. If wireless access is authorized, the organization:a. Establishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access;b. Authorizes wireless access to the information system prior to allowing such connections; c. The organization ensures that:    1.The COSA CIO must approve and distribute the overall wireless plan for his or her respective organization; and    2. Mobile and wireless devices, systems, and networks are not connected to wired HHS/COSA networks except through appropriate controls (e.g., VPN port) or unless specific authorization from HHS/COSA network management has been received.\r\n\r\n','Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., Extensible Authentication Protocol/Transport Layer Security [EAP/TLS], Protected Extensible Authentication Protocol [PEAP]), which provide credential protection and mutual authentication.\r\n\r\n',' AC-2, AC-3, AC-17, AC-19, CA-3, CA-7, CM-8, IA-2, IA-3, IA-8, PL-4, SI-4'),(48,'AC-18(01)','Access Control','Authentication and Encryption ','P1','High; Moderate','If wireless access is explicitly approved, the information system protects wireless access to the system using encryption, and authentication of both users and devices.\r\n\r\n','Ensuring wireless connections use authentication and encryption reduces the risk that an unauthorized device or user will gain access to the system or intercept communications.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nCommunication over wireless networks, unless properly secured, has a greater risk of interception than hard-wired networks. Implementing encryption of wireless network communications containing personally identifiable information (PII) renders any intercepted data unreadable.If wireless networks permit access to organization information systems containing PII, then encryption of content and authentication of users or devices is required. Organizations should ensure that all WLAN components use FIPS-approved cryptographic algorithms to protect the confidentiality and integrity of WLAN communications.\r\n\r\n',' AC-3, IA-2, IA-3, IA-8, SC-8, SC-13'),(49,'AC-18(04)','Access Control','Restrict Configurations by Users ','P1','High','The organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.\r\n\r\n','Organizational authorizations to allow selected users to configure wireless networking capability are enforced, in part by the access enforcement mechanisms employed within organizational information systems.\r\n\r\n',' AC-3, SC-15'),(50,'AC-18(05)','Access Control','Antennas/Transmission Power Levels ','P1','High','The organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.\r\n\r\n','Actions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) Reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) Employing measures such as TEMPEST to control wireless emanations; and (iii) Using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.\r\n\r\n',' PE-19'),(51,'AC-19','Access Control','Access Control for Mobile Devices ','P1','High; Moderate; Low','The organization: a. Establishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and b. CIO authorizes the connection of mobile devices to organizational information systems.\r\n\r\n','A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, e-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually near the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nLimiting access to sensitive information from mobile devices reduces the risk of intentional and unintentional disclosures sensitive information PII that may not exist on an internal network.\r\n\r\n',' AC-3, AC-7, AC-18, AC-20, CA-9, CM-2, IA-2, IA-3, MP-2, MP-4, MP-5, PL-4, SC-7, SC-43, SI-3, SI-4'),(52,'AC-19(05)','Access Control','Full Device/Container-Based Encryption ','P1','High; Moderate','The organization employs COSA-required (FIPS 140-2 validated module) full-device encryption or container encryption to protect the confidentiality and integrity of information on approved mobile devices.\r\n\r\n','Container-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including, for example, encrypting selected data structures such as files, records, or fields. FIPS 140-2 approved security function families are found at  HYPERLINK \"http://csrc.nist.gov/groups/STM/cavp/validation.html\" . However, implementing an approved security function is the start. The product must also be on the approved validation lists. (See  HYPERLINK \"http://csrc.nist.gov/groups/STM/cmvp/documents/140-1/140val-all.htm\"  for a list of current validated products.)\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSince mobile devices are more likely to be lost or stolen, sensitive information on a mobile device is more vulnerable. Encryption reduces this vulnerability.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' MP-5, SC-13, SC-28'),(53,'AC-20','Access Control','Use of External Information Systems ','P1','High; Moderate; Low','The organization prohibits the use of external information systems, including but not limited to, Internet kiosks, personal desktop computers, laptops, tablet personal computers, personal digital assistant (PDA) devices, cellular telephones, facsimile machines, and equipment available in hotels or airports to store, access, transmit, or process sensitive information, unless explicitly authorized, in writing, by the CIO or his/her designated representative. If external information systems are authorized, the organization establishes strict terms and conditions for their use. The terms and conditions must address, at a minimum: a. The types of applications that can be accessed from external information systems; b. The maximum FIPS 199 security category of information that can be processed, stored, and transmitted; c. How other users of the external information system will be prevented from accessing federal information; d. The use of VPN and stateful inspection firewall technologies; e. The use of and protection against the vulnerabilities of wireless technologies; f. The maintenance of adequate physical security controls; g. The use of virus and spyware protection software; and h. How often the security capabilities of installed software are to be updated.\r\n\r\n','External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by non-federal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems.For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments.This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through  HYPERLINK \"http://www.medicare.gov\" ). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.For some external systems, those systems operated by other federal agencies, including organizations subordinate to COSA, the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. In effect, the information systems of these organizations would not be considered external.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAccess to PII from external information systems (including, but not limited to, personally owned information systems/devices) is reinforced by a binding agreement to terms and conditions of the organization’s privacy requirements to ensure awareness and accountability of both parties.Such agreements may include memoranda of understanding (MOU), terms of service, or contracts.\r\n\r\n',' AC-1, AC-3, AC-17, AC-19, CA-3, PL-4, SA-9'),(54,'AC-20(01)','Access Control','Limits on Authorized Use ','P1','High; Moderate','The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization: a. Verifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or b. Retains approved information system connection or processing agreements with the organizational entity hosting the external information system.\r\n\r\n','This control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAn external information system which processes, stores, or transmits sensitive information needs to have its security controls verified to meet the organization’s security control requirements for information systems processing sensitive information.\r\n\r\n',' CA-2'),(55,'AC-20(02)','Access Control','Portable Storage Devices ','P1','High; Moderate','The organization restricts the use of organization-controlled portable storage devices by authorized individuals on external information systems.\r\n\r\n','Limits on the use of organization controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.\r\n\r\n',' '),(56,'AC-20(03)','Access Control','Non-Mandatory: Non-Organizationally Owned Systems/ Components/ Devices ','P3','','The organization restricts the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.a. Use of contractor owned devices must be documented within the contract and the system security plan, employ information security and privacy protections appropriate for the sensitivity of the data, and be approved by the Authorizing Official (AO) in advance; andb. Use of personally owned devices must comply with HHS and COSA policies and directives on use of personally-owned information systems and components.\r\n\r\n','Non-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nMobile devices are more vulnerable to loss or theft than other types of computing media (e.g., desktops and servers) due to their portability and widespread use inside and outside of government facilities. This means PII stored on a mobile device is more vulnerable. This security control implements protections for PII contained on any mobile device not owned by the organization, including personal mobile devices, commonly referred to as BYOD.The organization should include in its mobile strategy a method to ensure both the device’s access to PII can be revoked and the device’s PII contents can be remotely removed.\r\n\r\n',' AC-19(5)'),(57,'AC-21','Access Control','Information Sharing ','P2','High; Moderate','The organization: a. Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for approved information-sharing circumstances where user discretion is required; and b. Employs defined automated mechanisms, or manual processes, (defined in the applicable security plan) to assist users in making information sharing/collaboration decisions.\r\n\r\n','This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information (PII), classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen PII is shared, it is necessary to ensure the PII is being shared in accordance with statutory and regulatory requirements, including any restrictions on how the PII may be shared and the requirements for security of the receiving partner.This control addresses the sharing of information in a general sense (i.e., disclosure). It is not “information sharing” as defined by the Information Sharing Environment (ISE) Privacy Guidelines. All sharing partners, processes, and information systems must comply with applicable system of records notices (SORN), Privacy Impact Assessments (PIA), or other forms of notice or public statements. Examples of actions that may be required to implement privacy requirements in information sharing activities include: addressing privacy requirements in information sharing agreements; ensuring sharing partners have a mutual understanding of the PII confidentiality impact level (as NIST SP 800-122 is a risk based analysis and accepts variation in organizational implementation); developing processes and supporting mechanisms to ensure/enforce compliance; and implementing technical capabilities that enforce privacy requirements for PII stored or processed by a sharing partner. Program managers and system owners should work with their privacy offices to ensure information sharing activities are compliant with privacy requirements.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe COSA Senior Official for Privacy (SOP) may permit a business associate to create, receive, maintain, or transmit PHI on behalf of the organization to the extent the business associate is required by law to perform such function or activity, without meeting the requirements of a business associate contract, provided that the SOP attempts in good faith to obtain satisfactory assurances required in the business associate contracts, and documents the attempt and the reasons that these assurances cannot be obtained. This control helps covered entities to enforce the Minimum Necessary Rule.\r\n\r\n',' AC-3, TR-1, UL-2'),(58,'AC-22','Access Control','Publicly Accessible Content ','P3','High; Moderate; Low','The organization: a. Designates individuals authorized to post information onto a publicly accessible information system; b. Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information; c. Reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and d. Reviews the content on the publicly accessible information system for nonpublic information bi-weekly and removes such information, if discovered.\r\n\r\n','In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the public, typically without identification or authentication. The posting of information on non-COSA information systems is covered by organizational policy.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nA system of records maintaining personally identifiable information (PII) that is not approved for release under the Freedom of Information Act (FOIA) is nonpublic information. When agencies consider sharing or posting PII, they must do so in a way that fully protects individual privacy. Under HIPAA, a covered entity or business associate may not use or disclose protected health information except as provided by the HIPAA Privacy Rule. This control implements procedures to protect information, including PII, from being posted publicly improperly.PII that is nonpublic information must not be posted onto a publicly accessible information system.\r\n\r\n',' AC-3, AC-4, AT-2, AT-3, AU-13'),(59,'AT-01','Awareness and Training','Security Awareness and Training Policy and Procedures ','P1','High; Moderate; Low','The organization:a. Develops, documents, and disseminates to personnel/roles as designated by the organization: 1. A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; andb. Reviews and, if necessary, updates the current: 1. Security awareness and training policy at least once every three (3) years; and 2. Security awareness and training procedures at least once every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nInformation security awareness and training complements privacy awareness and training efforts, particularly when awareness and training efforts address topics where the two disciplines overlap, such as on topics related to use, confidentiality, access, integrity, and the protection of sensitive information. Coordination between the information security and privacy offices on the proper use and protections to be afforded to personally identifiable information (PII) within security awareness and training policies addresses the purpose, roles and responsibilities surrounding PII compliance.\r\n\r\n',' AR-5, AR-6, PM-9'),(60,'AT-02','Awareness and Training','Security Awareness Training ','P1','High; Moderate; Low','The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors): a. As part of initial training for new users prior to accessing any system’s information; b. When required by system changes; and c. Within every three hundred sixty-five (365) days thereafter.\r\n\r\n','Organizations determine the appropriate content of security and privacy awareness and training, and security and privacy awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content must provide a basic understanding of the need for information security and privacy; descriptions of user actions necessary to maintain security and privacy and instruction on how to respond to suspected security and privacy incidents. The content must also provide awareness of the need for operations security and privacy as they relate to COSA’s information security and privacy program. Security and privacy awareness techniques may include, for example, displaying posters, offering supplies inscribed with security and privacy reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security and privacy awareness events.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nInformation security awareness and training complements privacy awareness and training efforts, particularly when awareness and training efforts address topics where the two disciplines overlap, such as on topics related to use, confidentiality, access, integrity, and the protection of sensitive information. \r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe following elements of security training are addressable under HIPAA. Security Awareness Training should include: (i) periodic security updates; (ii) procedures for guarding against, detecting, and reporting malicious software; (iii) procedures for monitoring log-in attempts and reporting discrepancies; and (iv) procedures for creating, changing, and safeguarding passwords.\r\n\r\n',' AR-5, AR-6, AT-3, AT-4, PL-4'),(61,'AT-02(02)','Awareness and Training','Insider Threat ','P1','High; Moderate; Low','The organization includes security awareness and training on recognizing and reporting potential indicators of insider threats, such as:a. Inordinate, long-term job dissatisfaction, b. Attempts to gain access to information not required for job performance, c. Unexplained access to financial resources, d. Bullying or sexual harassment of fellow employees, e. Workplace violence, and f. Other serious violations of organizational policies, procedures, directives, rules, or practices.\r\n\r\n','Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or sexual harassment of fellow employees; workplace violence; and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness and training includes how to communicate employee and management concerns regarding potential indicators of insider threats through appropriate organizational channels in accordance with established organizational policies and procedures.\r\n\r\n',' PL-4, PM-12, PS-3, PS-6'),(62,'AT-03','Awareness and Training','Role-Based Security Training ','P1','High; Moderate; Low','The organization provides role-based security training to personnel (both contractor and employee) with assigned information security and privacy roles and responsibilities (i.e., significant information security and privacy responsibilities): a. Before authorizing access to the information system or performing assigned duties; b. When required by information system changes; and c. Within sixty (60) days of entering a position that requires role-specific training, and within every 365 days thereafter.\r\n\r\n','Organizations determine the appropriate content of security and privacy training based on the assigned roles and responsibilities of individuals, the specific security requirements of COSA, and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security- and privacy-related training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include, for example, training on policies, procedures, tools, and artifacts for the organizational security and privacy roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of COSA’s information security and privacy programs. Role-based security and privacy training also applies to contractors providing services to federal agencies.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSignificant information security and privacy responsibilities are defined as the responsibilities associated with a given role or position, which, upon execution, could have the potential to adversely impact the security and/or privacy posture of one or more COSA systems.\r\n\r\n',' AR-5, AR-6, AT-2, AT-4, PL-4, PS-7, SA-3, SA-12, SA-16'),(63,'AT-04','Awareness and Training','Security Training Records ','P3','High; Moderate; Low','The organization: a. Identifies employees and contractors who hold roles with significant information security and privacy responsibilities;b. Documents and monitors individual information system security and privacy training activities, including basic security and privacy awareness and training and specific role-based information system security and privacy training; and c. Retains individual training records for a minimum of five (5) years after the individual completes each training.\r\n\r\n','Procedures and training implementation should:a. Identify employees with significant information security and privacy responsibilities and provide role-specific training in accordance with NIST standards and guidance: 1. All users of COSA information systems must be exposed to security and privacy awareness materials at least every 365 days. Users of COSA information systems include employees, contractors, students, guest researchers, visitors, and others who may need access to COSA information systems and applications;  2. Executives must receive training in information security and privacy basics and policy level training in security and privacy planning and management; 3. Program and functional managers must receive training in information security and privacy basics; management and implementation level training in security and privacy planning and system/application security and privacy management; and management and implementation level training in system/ application life cycle management, risk management, and contingency planning; 4. CIOs, information security and privacy program managers, auditors, and other security-oriented personnel (e.g., system and network administrators, and system/application security and privacy officers) must receive training in information security and privacy basics and broad training in security and privacy planning, system and application security and privacy management, system/application life cycle management, risk management, and contingency planning; and 5. IT function management and operations personnel must receive training in information security and privacy basics; management and implementation level training in security and privacy planning and system/application security and privacy management; and management and implementation level training in system/application life cycle management, risk management, and contingency planning.b. COSA must provide the COSA information systems security awareness material/exposure outlined in NIST guidance on information security awareness and training to all new employees before allowing them access to the systems;c. COSA must provide information systems security and privacy refresher training for employees as frequently as COSA determines necessary, based on the sensitivity of the information that the employees use or process; andd. COSA must provide training whenever there is a significant change in the information system environment or procedures or when an employee enters a new position that requires additional role-specific training.e. Documentation for specialized training may be maintained by individual supervisors at the option of the organization.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nMaintaining security and privacy training records provides the capability for organizations to track compliance with privacy-related training requirements. Under HIPAA, a covered entity must document that the training as described within the regulation has been provided as required.\r\n\r\n',' AR-5, AR-6, AT-2, AT-3, PM-14'),(64,'AU-01','Audit and Accountability','Audit and Accountability Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:  1. An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and  2. Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and b. Reviews and updates (as necessary) the current:  1. Audit and accountability policy at least every three (3) years; and  2. Audit and accountability procedures at least every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSecurity audit and accountability policies and procedures directly support privacy audit and accountability procedures.\r\n\r\n',' AU-2, AR-4, PM-9'),(65,'AU-02','Audit and Accountability','Audit Events ','P1','High; Moderate; Low','The organization: a. Determines, based on a risk assessment and COSA mission/business needs, that the information system can audit the events specified in Implementation Standard 1; b. Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events; c. Provides a rationale for why the auditable events are deemed to be adequate (relevant) to support after-the-fact investigations of security and privacy incidents; and d. Determines which events specified in Implementation Standard 2 require auditing on a continuous basis in response to specific situations.\r\n\r\n','An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.The Federal Rules of Evidence can be found at this website: http://www.uscourts.gov/file/rules-evidence  \r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control identifies privacy-relevant security auditable events using a risk-based approach. Examples of privacy-relevant auditable events include logging access to or modification of PII.The parameter values for this control do not provide an exhaustive list of all auditable events, but instead list the auditable events required by OMB privacy policy. The organization should manage the length of time that a log file is maintained to the period necessary to comply with the organization’s security and privacy policies.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe HIPAA Security Rule requires the auditing of activity in information systems that contain PHI but does not identify the specific audit events. Follow PII Supplemental Guidance.\r\n\r\n',' AC-6, AC-17, AR-4, AU-3, AU-12, MA-4, MP-2, SI-4'),(66,'AU-02(03)','Audit and Accountability','Reviews and Updates ','P1','High; Moderate','The organization reviews and updates the list of auditable events no less often than every three hundred sixty-five (365) days and whenever there is a significant system modification.\r\n\r\n','Over time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.\r\n\r\n',' '),(67,'AU-03','Audit and Accountability','Content of Audit Records ','P1','High; Moderate; Low','The information system generates audit records containing information that specifies: - Date and time of the event; - Component of the information system (e.g., software component, hardware component) where the event occurred; - Type of event; - User/subject identity; - Outcome (success or failure) of the event; - Execution of privileged functions; and - Command line (for process creation events).\r\n\r\n','Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAudit records that are commensurate with the privacy risk they address are an effective tool for identifying whether, when, and how issues have occurred related to data quality and privacy breaches.\r\n\r\n',' AR-4, AU-2, AU-8, AU-12, SI-11'),(68,'AU-03(01)','Audit and Accountability','Additional Audit Information ','P1','High; Moderate','The information system generates audit records containing the following additional, more detailed information:  - Filename accessed;  - Program or command used to initiate the event; and  - Source and destination addresses.\r\n\r\n','Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.\r\n\r\n',' '),(69,'AU-03(02)','Audit and Accountability','Centralized Management of Planned Audit Record Content ','P1','High','The information system provides centralized management and configuration of the content to be captured in audit records generated by individual components throughout the information system.\r\n\r\n','This control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.Audit records contain evidence that can be used in the investigation of compromised systems. To prevent this evidence from being compromised, it must be sent to a separate system continuously. Methods for sending audit records include, but are not limited to, system audit tools used to send logs directly to another host or through the system’s syslog service to another host. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' AU-6, AU-7'),(70,'AU-04','Audit and Accountability','Audit Storage Capacity ','P1','High; Moderate; Low','The organization allocates audit record storage capacity and configures auditing to reduce the likelihood of such capacity being exceeded.\r\n\r\n','The organization considers the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAdequate storage capacity for logs used to audit security- and privacy-related controls reduces the likelihood of the logs exceeding available storage space and potentially losing log information or reducing auditing capability. Audit information could be necessary to enforce criminal or civil penalties under the Privacy Act, and providing adequate storage capacity allows for preserving complete audit information for these purposes.\r\n\r\n',' AR-4, AU-2, AU-5, AU-5(1), AU-6, AU-7, AU-9, AU-9(2), AU-11, SI-4'),(71,'AU-05','Audit and Accountability','Response to Audit Processing Failures ','P1','High; Moderate; Low','The information system: a. Alerts defined personnel or roles (defined in the applicable system security plan) in the event of an audit processing failure; and b. Takes the actions defined in Implementation Standard 1 in response to an audit failure or audit storage capacity issue.\r\n\r\n','Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.\r\n\r\n',' AU-4, SI-12'),(72,'AU-05(01)','Audit and Accountability','Audit Storage Capacity ','P1','High','The information system provides a warning to defined personnel, roles, and/or locations (defined in the applicable system security plan), within a defined time period (defined in the applicable system security plan), when allocated audit record storage volume reaches 80% of repository maximum audit record storage capacity.\r\n\r\n','Organizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.\r\n\r\n',' '),(73,'AU-05(02)','Audit and Accountability','Real-Time Alerts ','P1','High','The information system provides an alert in real-time to defined personnel, roles, and/or locations (defined in the applicable system security plan) when the following audit failure events occur:  - Record log is full;  - Auditing application reports an error; - Authentication logging failure; and  - Encryption logging failure.\r\n\r\n','Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).\r\n\r\n',' '),(74,'AU-06','Audit and Accountability','Audit Review, Analysis, and Reporting ','P1','High; Moderate; Low','The organization: a. Reviews and analyzes information system audit records no less often than weekly for indications of inappropriate or unusual activity as defined within the Implementation Standards; and b. Reports findings to defined personnel or roles (defined in the applicable system security plan).\r\n\r\n','Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of Voice over Internet Protocol (VoIP). Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPeriodic reviews and analysis of privacy logs are important for identifying indications of inappropriate or unusual activity that may signify a privacy incident or breach.\r\n\r\n',' AC-2, AC-3, AC-6, AC-17, AR-4, AT-3, AU-7, AU-16, CA-7, CM-5, CM-8, CM-10, CM-11, IA-3, IA-5, IR-4, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7'),(75,'AU-06(01)','Audit and Accountability','Process Integration ','P1','High; Moderate','The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.\r\n\r\n','Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' AU-12, PM-7'),(76,'AU-06(03)','Audit and Accountability','Correlate Audit Repositories ','P1','High; Moderate','The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.\r\n\r\n','Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nCorrelating and analyzing privacy audit logs across different log repositories and systems provides greater awareness of privacy incidents and breaches across the organization.\r\n\r\n',' AU-12, IR-4'),(77,'AU-06(05)','Audit and Accountability','Integration/Scanning and Monitoring Capabilities ','P1','High','The organization integrates analysis of audit records with analysis of (one-or-more, defined in the applicable system security plan): vulnerability scanning information; performance data; information system monitoring information; and/or other defined data/information (defined in the applicable system security plan) collected from other sources, to further enhance the ability to identify inappropriate or unusual activity.\r\n\r\n','This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the control enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber-attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' AU-12, IR-4, RA-5'),(78,'AU-06(06)','Audit and Accountability','Correlation with Physical Monitoring ','P1','High','The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.\r\n\r\n','The correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain information systems with the additional physical security information that the individual was present at the facility when the logical access occurred, may prove to be useful in investigations. - Cross-organizational coordination leverages critical information from a variety of sources to more effectively respond to information security-related incidents that potentially affect organization operations, assets, and individuals. - The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. - Effectiveness of event correlation depends on the quality of the data that goes into it. Organizations should establish logging standards and procedures to ensure that adequate information is collected and that the data is reviewed regularly.  - Consistent log timestamps facilitate effective event correlation.\r\n\r\n',' '),(79,'AU-06(10)','Audit and Accountability','Non-Mandatory: Audit Level Adjustment ','P3','','The organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.\r\n\r\n','The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nChange of risk includes situations involving a potential breach of personally identifiable information (PII).\r\n\r\n',' AR-4'),(80,'AU-07','Audit and Accountability','Audit Reduction and Report Generation ','P2','High; Moderate','The information system provides an audit reduction and report generation capability that: a. Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and b. Does not alter the original content or time marking of audit records.\r\n\r\n','Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient. - Event collection and analysis software can perform event reduction by disregarding data that are not significant to information system security, potentially increasing its efficiency in network and storage resource needs.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTo meet the deadlines associated with reporting loss of sensitive information, such as a breach of personally identifiable information (PII), it is necessary to can summarize audit information and generate customized audit reports.\r\n\r\n',' AU-6'),(81,'AU-07(01)','Audit and Accountability','Automatic Processing ','P2','High; Moderate','The information system provides the capability to process audit records for events of interest based on selectable event criteria.\r\n\r\n','Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTo conduct efficient and effective remediation of loss of sensitive information, such as a breach of personally identifiable information (PII), it may be necessary to tailor the audit fields provided in audit reports. For example, it may be necessary to include the identities of individuals and the system resources involved to determine scope of access to an information system containing the sensitive information. However, consideration must be given on admissibility as defined by the Federal Rules of Evidence.The Federal Rules of Evidence can be found at this website: http://www.uscourts.gov/file/rules-evidence  \r\n\r\n',' AU-2, AU-12'),(82,'AU-07(02)','Audit and Accountability','Non-Mandatory: Automatic Sort and Search ','P3','','The information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.\r\n\r\n','Sorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTo conduct efficient and effective remediation of loss of sensitive information, such as a breach of personally identifiable information (PII), it may be necessary to tailor the organization of the audit report or to provide search functionality with audit reports that are generated. For example, if the PII breach involves only one or two users it may be most efficient to sort the audit report by user ID or to provide the ability to search on user ID within the audit report. Consideration must be given on admissibility as defined by the Federal Rules of Evidence.The Federal Rules of Evidence can be found at this website: http://www.uscourts.gov/file/rules-evidence  \r\n\r\n',' '),(83,'AU-08','Audit and Accountability','Time Stamps ','P1','High; Moderate; Low','The information system: a. Uses internal system clocks to generate time stamps for audit records; and b. Records time stamps for audit records that can be mapped to UTC or Greenwich Mean Time (GMT) and is accurate to within one hundred (100) milliseconds.\r\n\r\n','Time stamps generated by the information system include date and time. Time is commonly expressed in UTC, a modern continuation of GMT, or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities. - The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns; and - Consistent log timestamps facilitate effective event correlation.\r\n\r\n',' AU-3, AU-12'),(84,'AU-08(01)','Audit and Accountability','Synchronization with Authoritative Time Source ','P1','High; Moderate','The information system: a. Compares the internal information system clocks no less often than daily and at system boot with one or more of the following federally maintained NTP stratum-1 servers:  - NIST Internet Time Servers ( HYPERLINK \"http://tf.nist.gov/tf-cgi/servers.cgi\" )  - U.S. Naval Observatory Stratum-1 NTP Servers ( HYPERLINK \"http://tycho.usno.navy.mil/ntp.html\" ); and - COSA designated internal NTP time servers providing an NTP Stratum-2 service to the above servers; and b. Synchronizes the internal clocks to the authoritative time source when the time difference is greater than one hundred (100) milliseconds.\r\n\r\n','This control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network. - The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns; and - Consistent log timestamps facilitate effective event correlation.\r\n\r\n',' AU-12'),(85,'AU-09','Audit and Accountability','Protection of Audit Information ','P1','High; Moderate; Low','The information system protects audit information and audit tools from unauthorized access, modification, and deletion.\r\n\r\n','Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen audit information contains sensitive information, such as personally identifiable information (PII) or protected health information (PHI), it must be protected commensurate with the information’s confidentiality impact level. Audit information could be necessary to enforce criminal or civil penalties under the Privacy Act. Protecting audit records from compromise by applying this control enhancement helps ensure their availability when needed.\r\n\r\n',' AC-3, AC-6, AU-4(1), MP-2, MP-4, PE-2, PE-3, PE-6'),(86,'AU-09(02)','Audit and Accountability','Audit Backup on Separate Physical Systems/Components ','P1','High','The information system backs up audit records no less often than weekly onto a physically different system or system component than the system or component being audited.\r\n\r\n','This control is satisfied for servers forwarding audit records and information to a centralized audit server for aggregation and analysis.\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nThis control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.\r\n\r\n',' AU-4, AU-5, AU-11'),(87,'AU-09(03)','Audit and Accountability','Cryptographic Protection ','P1','High','The information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.\r\n\r\n','Cryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nUsing cryptographic mechanisms protects audit log integrity and the confidentiality of the information in the logs, including information related to privacy incidents and breaches. Audit information could be necessary to enforce criminal or civil penalties under the Privacy Act.In addition to cryptographic mechanisms to protect integrity, the confidentiality of personally identifiable information (PII) may require the use of encryption.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization. However, using cryptographic protection allows the organization to utilize the “Safe Harbor” provision under the Breach Notification Rule. If PHI is encrypted pursuant to the Guidance Specifying the Technologies and Methodologies that Render Protected Health Information Unusable, Unreadable, or Indecipherable to Unauthorized Individuals (74 FR 42740), then no breach notification is required following an impermissible use or disclosure of the information. Therefore, organizations should use cryptographic protections for PHI stored on electronic media.\r\n\r\n',' AU-10, SC-12, SC-13'),(88,'AU-09(04)','Audit and Accountability','Access by Subset of Privileged Users ','P1','High; Moderate','The organization authorizes access to management of audit functionality to only those individuals or roles who are not subject to audit by that system, and is defined in the applicable system security plan.\r\n\r\n','Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen audit information contains personally identifiable information (PII), the requirement for access to that audit information is the same as for access to PII generally. As such, access to PII in audit logs requires a need-to-know and privacy training commensurate with level of responsibility and access. Privileged users must be evaluated to determine if they have such a need-to-know as part of his or her security function.\r\n\r\n',' AC-5, AR-5'),(89,'AU-10','Audit and Accountability','Non-Repudiation ','P2','High','The information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed a particular action.\r\n\r\n','Types of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nNon-repudiation is a critical element of accountability and accuracy of information in system history and logs, and it is important for investigating incidents and breaches.\r\n\r\n',' AR-4, AR-8, SC-8, SC-12, SC-13, SC-16, SC-17, SC-23'),(90,'AU-10(01)','Audit and Accountability','Non-Mandatory: Association of Identities ','P3','','The information system: a. Binds the identity of the information producer with the information using an organization-defined strength of binding; and b. Provides the means for authorized individuals to determine the identity of the producer of the information.\r\n\r\n','This control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nDigital signatures support accountability and non-repudiation by assuring data object originator authenticity (provides a reasonable level of certainty regarding who did what), data integrity (data has been manipulated by a verifiable person), and time-stamping for prevention of replay (time-stamping may also useful for gauging timeliness and relevance of personally identifiable information [PII]).Digital signatures bind the signer to the information the user signs. Digital signatures support accountability and non-repudiation by assuring data object originator authenticity (provides a reasonable level of certainty regarding who did what), data integrity (data has been manipulated by a verifiable person), and time stamping for prevention of replay (time-stamping may also useful for gauging timeliness and relevance of PII).\r\n\r\n',' AC-4, AC-16'),(91,'AU-11','Audit and Accountability','Audit Record Retention ','P3','High; Moderate; Low','The organization retains audit records for ninety (90) days and archive old records for one (1) year to provide support for after-the-fact investigations of security incidents and to meet regulatory and COSA information retention requirements.\r\n\r\n','Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoena, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.\r\n\r\n',' AU-4, AU-5, AU-9, MP-6'),(92,'AU-12','Audit and Accountability','Audit Generation ','P1','High; Moderate; Low','The information system: a. Provides audit record generation capability for the following auditable events defined in AU-2a:  - All successful and unsuccessful authorization attempts; - All changes to logical access control authorities (e.g., rights, permissions);  - All system changes with the potential to compromise the integrity of audit policy configurations, security policy configurations and audit record generation services;  - The audit trail, which must capture the enabling or disabling of audit report generation services; and - The audit trail must capture command line changes, batch file changes and queries made to the system (e.g., operating system, application, and database). b. Allows defined personnel or roles (defined in the applicable system security plan) to select which auditable events are to be audited by specific components of the information system; and c. Generates audit records for the list of events defined in AU-2 with the content defined in AU-3.\r\n\r\n','Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system can generate audit records.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control defines the technical aspects of how the privacy auditing requirements identified in controls AU-2 and AU-3 will be selected, generated and reviewed for compliance.\r\n\r\n',' AC-3, AU-2, AU-3, AU-6, AU-7'),(93,'AU-12(01)','Audit and Accountability','System-Wide/Time-Correlated Audit Trail ','P1','High','The information system compiles audit records from defined information system components (defined in the applicable system security plan) into a system-wide (logical or physical) audit trail that is time-correlated to within +/- five (5) minutes.\r\n\r\n','Audit trails are time-correlated if the time stamp in the individual audit records can be reliably related to the time stamp in other audit records to achieve a time ordering of the records within the organization-defined tolerance.\r\n\r\n',' AU-8, AU-12'),(94,'AU-12(03)','Audit and Accountability','Changes by Authorized Individuals ','P1','High','The information system provides the capability for defined individuals or roles (defined in the applicable system security plan) to change the auditing to be performed on defined information system components (defined in the applicable system security plan) based on defined selectable event criteria (defined in the applicable system security plan) within minutes.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe information system provides the capability for a limited subset of authorized system administrators to change the auditing to be performed on any information system that contains PII based on change in risk based on law enforcement, intelligence, or other credible sources of information or a security incident within minutes.\r\n\r\n','This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nChanges to the audit of information systems containing sensitive information must be limited to a subset of authorized system administrators to ensure integrity of audit logs. This control requires organization to define the individuals or roles that would be able to make changes to audit generation requirements.\r\n\r\n',' AU-7'),(95,'AU-16','Audit and Accountability','Non-Mandatory: Cross-Organizational Auditing ','P3','','The organization employs organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.\r\n\r\n','When organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.\r\n\r\n',' AU-6'),(96,'AU-16(02)','Audit and Accountability','Non-Mandatory: Sharing of Audit Information ','P3','','The organization provides cross-organizational audit information to organizationally-defined organizations based on organizationally-defined cross-organizational sharing agreements.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization provides cross-organizational audit information to any organization with whom audit information containing PII or PHI is shared based on MOUs, MOAs, or other data sharing agreements.\r\n\r\n','Because of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nSince an audit log may contain PHI, when audit information is shared between organizations, an agreement addressing the handling, protection, and disclosure of PHI is required.MOUs, memoranda of agreement (MOAs), and other data sharing agreements must address protection of PHI, audit content confidentiality ensuring authorized disclosures, and assurance that sharing agreement define which audit events and results are both captured and shared.\r\n\r\n',' CA-3'),(97,'CA-01','Security Assessment and Authorization','Security Assessment and Authorization Policies and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:  1. A security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and  2. Procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and. b. Reviews and updates (as necessary) the current: 1. Security assessment and authorization policy at least every three (3) years; and2. Security assessment and authorization procedures at least every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe security assessment and authorization policy and procedures should address the strategy for including applicable privacy requirements and controls in the security program and information systems.\r\n\r\n',' AR-1, AR-7, PM-9'),(98,'CA-02','Security Assessment and Authorization','Security Assessments ','P2','High; Moderate; Low','The organization: a. Develops an information security and privacy control assessment plan that describes the scope of the assessment including:  1. Security and privacy controls and control enhancements under assessment (including information security and privacy changes enacted by HHS and COSA CIO/CISO directives); 2. Assessment procedures to be used to determine control effectiveness; and  3. Assessment environment, assessment team, and assessment roles and responsibilities. b. Assesses the security and privacy controls in the information system and its environment of operation, as defined in implementation standards, within every three hundred sixty-five (365) days in accordance with the COSA Information Security (IS) Security Controls (SC) Including COSA Minimum Security Requirements (COSAR) Standard to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements; c. Produces an assessment report that documents the results of the assessment; and d. Provides the results of the security and privacy control assessment within thirty (30) days after its completion, in writing, to the Business Owner responsible for the system and personnel responsible for reviewing the assessment documentation, and updating system security documentation where necessary to reflect any changes to the system.\r\n\r\n','Organizations assess security controls in organizational information system and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from NIST SP 800-53 Appendix F (main catalog) and NIST SP 800-53 Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by COSA, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The Federal Information Security Modernization Act (FISMA) requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.To satisfy annual assessment requirements, organizations can use assessment results from the following sources, including but not limited to: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness; and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed.After initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the security control selection criteria and subsequently selects a subset of the security controls within the information system and its environment of operation for assessment. Those security controls that are the most volatile (i.e., controls most affected by ongoing changes to the information system or its environment of operation) or deemed critical to protecting COSA operations and assets, individuals, other organizations, and the Nation are assessed more frequently in accordance with an organizational assessment of risk. All other controls are assessed at least once during the information system’s three-year authorization cycle. The organization can use the current year’s assessment results from any of the above sources to meet the FISMA annual assessment requirement if the results are current, valid, and relevant to determining security control effectiveness. Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control addresses the process of planning for and executing security assessments, the scope of which should include assessment of applicable privacy requirements.Once the final security assessment is completed, update the associated Privacy Impact Assessment (PIA) to reflect the results of the security assessment.\r\n\r\n',' AR-2, CA-5, CA-6, CA-7, PM-9, RA-5, SA-11, SA-12, SI-4'),(99,'CA-02(01)','Security Assessment and Authorization','Independent Assessors ','P2','High; Moderate','The organization employs assessors or assessment teams with COSA CISO defined level of independence to conduct security control assessments.\r\n\r\n','Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest regarding the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations.AOs determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. AOs also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments be conducted by individuals that are in the developmental, operational, or management chain of system owners; independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.\r\n\r\n',' '),(100,'CA-02(02)','Security Assessment and Authorization','Specialized Assessments ','P2','High','The organization includes as part of security control assessments, within every three hundred sixty-five (365) days, announced or unannounced in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; and performance/load testing.\r\n\r\n','Organizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' PE-3, SI-2'),(101,'CA-02(03)','Security Assessment and Authorization','External Organizations ','P2','High','The organization accepts the results of an assessment of COSA information systems performed by COSA authorized independent assessors when the assessment meets COSA defined requirements and methodologies for performing assessments.\r\n\r\n','Organizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have about assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.\r\n\r\n',' '),(102,'CA-03','Security Assessment and Authorization','System Interconnections ','P1','High; Moderate; Low','The organization: a. Authorizes connections from the information system to other information systems using Interconnection Security Agreements (ISA) or other comparable agreements (such as MOU/MOA, SLA, or specific contractual clause, so long as the appropriate interconnection detail is provided therein); b. Documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; c. Reviews and updates the interconnection agreements no less often that once every year and whenever significant changes (that can affect the security state of the information system) are implemented that could impact the validity of the agreement as a verification of enforcement of security requirements; andd. Only activates a system interconnection (including testing) when a signed interconnection agreement is in place.\r\n\r\n','This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. The COSA authorizing official determines the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same COSA Authorizing Official, an Interconnection Security Agreement (ISA) or another specific interconnection document (such as MOU/MOA, SLA, or specific contractual clause) is not required. Interface characteristics between the interconnecting information systems can be described in the security plans for their respective systems. Instead of developing an interconnection agreement (or other valid interconnection agreement forms such as MOU/MOA, SLA, etc.), organizations may choose to incorporate this information into formal contracts (so long as the appropriate detail is provided therein), especially if the interconnection is to be established between COSA and a non-federal (private sector) organization. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require interconnection agreements and be subject to additional security controls.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nInterconnection agreements document whether and under what circumstances sensitive information, such as personally identifiable information (PII), can be shared between information systems in different authorization boundaries (e.g., an interface between systems owned by different agencies) over a dedicated or “always on” connection. Interconnection agreements communicate that sensitive information will be communicated via the connection and define the security parameters required to protect it. Interconnection agreements also provide a record of agreed upon terms and a document against which controls can be enforced and audited. Organizational policy dictates whether interconnection agreements are required for internal connections within an organization.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nConsider the need for a MOU/MOA or Business Associate Agreement, and implement as necessary.\r\n\r\n',' AC-3, AC-4, AC-20, AU-2, AU-12, AU-16, CA-7, IA-3, SA-9, SC-7, SI-4'),(103,'CA-03(03)','Security Assessment and Authorization','Non-Mandatory: Unclassified Non-National Security System Connections ','P3','','The organization prohibits the direct connection of COSA information systems to an external network without the use of COSA-authorized boundary protection device as defined within the Technical Reference Architecture (TRA).\r\n\r\nSystems defined as CSPs:\r\n\r\nThe organization prohibits the direct connection of COSA information systems to an external network without the use of COSA-authorized boundary protection device as defined within the Technical Reference Architecture (TRA).\r\n\r\n','Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBoundary protection devices protect systems containing sensitive information from unauthorized access by individuals outside the organization. A stateful inspection firewall is such a boundary protection device.\r\n\r\n',' '),(104,'CA-03(05)','Security Assessment and Authorization','Restrictions on External System Connections ','P1','High; Moderate','The organization employs, and documents in the applicable system security plan, a deny-all, permit-by-exception, policy for allowing defined information systems (defined in the applicable security plan) to connect to external information systems.\r\n\r\n','Organizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies regarding such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nExternal network connections open the opportunity for intentional as well as inadvertent disclosure of sensitive information, such as personally identifiable information (PII). Email and file sharing applications are common points of vulnerability. Organizations require the ability to evaluate external network connections on a case-by-case basis to ensure such connections do not permit unauthorized access or disclosure of sensitive information.\r\n\r\n',' CM-7'),(105,'CA-05','Security Assessment and Authorization','Plan of Action and Milestones ','P3','High; Moderate; Low','The organization: a. Develops and submits a POA&M for the information system within thirty (30) days of the submission of final results (e.g., Final Report) for every internal/external audit/review or test (e.g., Security Control Assessment [SCA], penetration test, automated configuration and vulnerability scan results) to document the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and b. Updates and submits existing POA&Ms monthly until all the findings are resolved based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.\r\n\r\n','POA&Ms are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.\r\n\r\n',' 2, CA-7, CM-4, PM-4'),(106,'CA-05(01)','Security Assessment and Authorization','Non-Mandatory: Automation Support for Accuracy/Currency ','P3','','The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.\r\n\r\n','None.\r\n\r\n',' '),(107,'CA-06','Security Assessment and Authorization','Security Authorization ','P3','High; Moderate; Low','The organization: Authorizing Official (AO) authorizes the information system for processing prior to commencing any operations; and a. Updates the security authorization:  - Within every three (3) years;  - When significant changes are made to the system;  - When changes in requirements result in the need to process data of a higher sensitivity;  - When changes occur to authorizing legislation or federal requirements that impact the system;  - After the occurrence of a serious security violation which raises questions about the validity of an earlier security authorization; and  - Prior to expiration of a previous security authorization.\r\n\r\n','Security authorizations are official management decisions, conveyed through authorization decision documents, by the COSA CIO or his/her designated representative (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to COSA operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Explicit authorization to operate the information system is provided by the COSA CIO or his/her designated representative prior to a system being placed into operations. Through the security authorization process, the COSA CIO is accountable for security risks associated with the operation and use of COSA information systems.OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing the COSA CIO and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, the COSA CIO uses results of the continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nOne of the considerations for the “go/no go” decision when authorizing (or re-authorizing) an information system is whether applicable privacy requirements have been met.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe senior-level executive should be one of the following: HIPAA Security Officer, Authorizing Official, Program Manager, Information System Security Manager (ISSM), or Information System Security Officer (ISSO).\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nSignificant change is defined in NIST SP 800-37 Revision 1, Appendix F. The CSP describes the types of changes to the information system or the environment of operations that would require a reauthorization of the information system. The types of changes are approved and accepted by the Joint Authorization Board (JAB).\r\n\r\n',' CA-1, CA-2, CA-7, PM-9, PM-10'),(108,'CA-07','Security Assessment and Authorization','Continuous Monitoring ','P3','High; Moderate; Low','The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes: a. Establishment of defined metrics (defined in the applicable system security plan) to be monitored based on the organization security goals and objectives and in accordance with the basic requirements set forth in NIST SP 800-137; b. Establishment of defined frequencies (defined in the applicable system security plan), but no less than once every 72 hours, for monitoring and defined frequencies (defined in the applicable system security plan), but no less than once every 72 hours, for assessments supporting such monitoring; c. Ongoing security control assessments in accordance with the organizational continuous monitoring strategy; d. Ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy; e. Correlation and analysis of security-related information generated by assessments and monitoring; f. Response actions to address results of the analysis of security-related information; and g. Reporting the security status of the organization and the information system to defined personnel or roles (defined in the applicable system security plan) monthly.\r\n\r\n','Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms “continuous” and “ongoing” imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe state of security controls can directly correlate to privacy risk. Continuous monitoring supports the identification of issues that could result in unauthorized access to sensitive information such as PII, data quality issues, and other concerns, including privacy, that are supported by security controls.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nConsider using automated tools and mechanisms for system activity review. The effectiveness of continuous monitoring of various activities, for example, failed or successful log-ins, inappropriate file access, detecting and reporting on malicious code/viruses through network transmission, is enhanced using approved automated tools.\r\n\r\n',' AR-4, CA-2, CA-5, CA-6, CM-3, CM-4, PM-6, PM-9, RA-5, SA-11, SA-12, SI-2, SI-4'),(109,'CA-07(01)','Security Assessment and Authorization','Independent Assessment ','P2','High; Moderate','The organization employs assessors or assessment teams with COSA CISO defined level of independence to monitor the security controls in the information system on an ongoing basis.\r\n\r\n','Organizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.An independent assessor (defined in the RMH, Volume 1, Chapter 10, COSA Risk Management Terms, Definitions, and Acronyms) may be any internal/external agent or team that can conduct an impartial assessment of an organizational information system. Impartiality implies that the assessors are free from any perceived or actual conflicts of interest with respect to the development, operation, and/or management chain-of-command associated with the information system or to the determination of control effectiveness. Since these determinations are somewhat subjective, the COSA CISO retains the ultimate authority to make final judgments on the independence of any assessor. In addition, see COSA IS2P2 section entitled Risk Management Framework RMF (COSA-RMF-1.8).\r\n\r\n',' AC-9, CA-2'),(110,'CA-08','Security Assessment and Authorization','Penetration Testing ','P2','High and Moderate HVA systems','The organization conducts both internal and external penetration testing, within every three hundred sixty-five (365) days, on defined information systems or system components (defined in the applicable system security plan), or whenever there has been a significant change to the system. As a minimum, penetration testing must be conducted to determine:a. How well the system tolerates real world-style attack patterns;b. The likely level of sophistication an attacker needs to successfully compromise the system;c. Additional countermeasures that could mitigate threats against the system; andd. Defenders’ ability to detect attacks and respond appropriately.Penetration testing is required under OMB M-17-09 for all systems defined as High Value Assets (HVAs)\r\n\r\n','Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems will have against adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of internal and external adversaries in carrying out hostile cyber-attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing. External penetration testing attempts to duplicate the actions of external adversaries (outside the security perimeter) in carrying out hostile cyber-attacks against the organization.  Internal penetration testing is performed from inside the system security perimeter. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen user session information and other PII is captured or recorded during penetration testing, ensure relevant privacy controls are addressed.\r\n\r\n',' AP-1, AP-2, SA-12, TR-1, TR-2'),(111,'CA-08(01)','Security Assessment and Authorization','Non-Mandatory: Independent Penetration Agent or Team ','P3','','The organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.\r\n\r\n','Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest about the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.\r\n\r\n',' CA-2'),(112,'CA-09','Security Assessment and Authorization','Internal System Connections ','P2','High; Moderate; Low','The organization: a. Authorizes connections of defined internal information system components or classes of components (defined in the applicable system security plan) to the information system; and b. Documents, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.\r\n\r\n','This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nInclude privacy requirements in the Information Connection Document (or equivalent such as an Interconnection Security Agreement or an Authority to Connect package), specifically addressing the collection authority, compatibility of purpose for use, and need for recipient of information to achieve specific business purpose. Documentation must also address responsibilities of the receiving information system for protecting personally identifiable information (PII).\r\n\r\n',' AC-3, AC-4, AC-18, AC-19, AU-2, AU-12, CA-7, CM-2, IA-3, SC-7, SI-4, UL-1, UL-2'),(113,'CA-09(01)','Security Assessment and Authorization','Non-Mandatory: Security Compliance Checks ','P3','','The information system performs security compliance checks, as defined by the RMH, on constituent system components prior to the establishment of the internal connection.\r\n\r\n','Security compliance checks may include, for example, verification of the relevant baseline configuration.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSecurity compliance checks may include an assessment, prior to initial connection, of specific components, e.g., printers, based on sensitivity of personally identifiable information (PII) processed by that component. Any change to the components’ security posture would require a re-verification of the configuration settings.\r\n\r\n',' CM-6'),(114,'CM-01','Configuration Management','Configuration Management Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:  1. A configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and  2. Procedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and b. Reviews and updates (as necessary) the current:  1. Configuration management policy within every three (3) years; and  2. Configuration management procedures within every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' PM-9'),(115,'CM-02','Configuration Management','Baseline Configuration ','P1','High; Moderate; Low','The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.\r\n\r\n','This control establishes baseline configurations for information systems and system components, including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.\r\n\r\n',' CM-3, CM-6, CM-8, CM-9, PM-5, PM-7, SA-10'),(116,'CM-02(01)','Configuration Management','Reviews and Updates ','P1','High; Moderate','The organization reviews and updates the baseline configuration of the information system: a. At least every 180 days for High systems or 365 days for Moderate systems; b. When configuration settings change due to critical security patches (as defined by the Federal Government, COSA, or vendor), upgrades and emergency changes (e.g., unscheduled changes, system crashes, replacement of critical hardware components), major system changes/upgrades; c. As an integral part of: 1. information system component installations;  2. upgrades; and  3. updates to applicable governing standards (implemented within timeline defined in (a) above); and  d. Supporting baseline configuration documentation reflects ongoing implementation of operational baseline configuration updates, either directly or by policy.\r\n\r\n','None.\r\n\r\n',' CM-5'),(117,'CM-02(02)','Configuration Management','Automation Support for Accuracy/Currency ','P1','High','The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.\r\n\r\n','Automated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.\r\n\r\n',' CM-7, RA-5'),(118,'CM-02(03)','Configuration Management','Retention of Previous Configurations ','P1','High; Moderate','The organization retains older versions of baseline configurations of the information system as deemed necessary to support rollback.\r\n\r\n','Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.\r\n\r\n',' '),(119,'CM-02(06)','Configuration Management','Non-Mandatory: Development and Test Environments','P3','','The organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.\r\n\r\n','Establishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.\r\n\r\n',' CM-4, SC-3, SC-7'),(120,'CM-02(07)','Configuration Management','Configure Systems, Components, or Devices for High-Risk Areas ','P1','High; Moderate','The organization: a. Issues dedicated information systems, system components, or devices with stringent configurations (e.g., FIPS 140-2 for encryption) to individuals traveling to locations that the organization deems to be of significant risk; and b. Applies security safeguards to the devices (i.e., detailed inspection of the device for physical tampering, purging or reimaging the hard disk drive/removable media) when the individuals return.\r\n\r\n','When it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the Media Protection (MP) family.\r\n\r\n',' '),(121,'CM-03','Configuration Management','Configuration Change Control ','P1','High; Moderate','The organization: a. Determines the types of changes to the information system that are configuration-controlled; b. Reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses; c. Documents configuration change decisions associated with the information system; d. Implements approved configuration-controlled changes to the information system; e. Retains records of configuration-controlled changes to the information system for a minimum of three (3) years after the change; f. Audits and reviews activities associated with configuration-controlled changes to the information system; and g. Coordinates and provides oversight for configuration change control activities through change request forms which must be approved by an organizational and/or COSA change control board that convenes frequently enough to accommodate proposed change requests, and other appropriate organization officials including, but not limited to, the System Developer/Maintainer and information system support staff.\r\n\r\n','Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.\r\n\r\n',' CM-2, CM-4, CM-5, CM-6, CM-9, SA-10, SI-2, SI-12'),(122,'CM-03(01)','Configuration Management','Automated Document/Notification/Prohibition of Changes ','P1','High','The organization employs automated mechanisms to:a. Document proposed changes to the information system; b. Notify designated approval authorities (defined in the applicable security plan) of proposed changes to the information system;c. Request change approval per the system configuration management documentation; d. Highlight proposed changes that have been waiting an approval decision, or have not been approved, for longer than change management procedure (defined in the applicable security plan) requires; e. Prohibit changes to the information system until approvals are received; f. Document all changes to the information system; and g. Notify stakeholders when approved changes are completed.A list of potential stakeholders must include, but is not limited to the following:a. Change Control Board (CCB);b. Configuration Management Executive;c. Chief Risk Officer (CRO);d. Cyber Risk Advisor (CRA);e. ISSO;f. Program Manager;g. Data Guardian;h. Information System Owner (ISO); andi. Information System Administrator.\r\n\r\n','None.\r\n\r\n',' '),(123,'CM-03(02)','Configuration Management','Test/Validate/Document Changes ','P1','High; Moderate','The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.\r\n\r\n','Changes to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems). - To better secure IT infrastructure, configuration management procedure should include use of a security configuration checklist (sometimes called a lockdown, hardening guide, or benchmark) to help configure systems to an operating environment. - Security authorization (authorization to operate given identified risk and security controls) is maintained when proposed or actual changes to the information system, and their suspected impact on the security of the system, are documented and continuously monitored for compliance. - Configuration Management process includes the following steps:  1. Identify change;  2. Evaluate change request;  3. Approve, Deny or Defer implementation of the change;  4. Implement the approved change; and  5. Continuously monitor change for acceptable operation.\r\n\r\n',' '),(124,'CM-03(06)','Configuration Management','Non-Mandatory: Cryptography Management ','P3','','The organization ensures that all cryptographic mechanisms used to provide protection to sensitive information are under configuration management.\r\n\r\n','Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen encrypting personally identifiable information (PII), management processes must be in place to ensure future access to such data.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nWhen encrypting PHI, there must be management processes in place to ensure future access to such data.\r\n\r\n',' SC-8, SC-12, SC-13, SC-28'),(125,'CM-04','Configuration Management','Security Impact Analysis ','P2','High; Moderate; Low','The organization analyzes changes to the information system to determine potential security and privacy impacts prior to change implementation. Activities associated with configuration changes to the information system are audited.\r\n\r\n','Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers [ISSO], Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen analyzing changes to the information system, the impacts to privacy are also considered. If necessary, conduct a privacy impact assessment.\r\n\r\n',' AR-2, CA-2, CA-7, CM-3, CM-9, SA-4, SA-5, SA-10, SI-2'),(126,'CM-04(01)','Configuration Management','Separate Test Environments ','P2','High','The organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.\r\n\r\n','Separate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIf personally identifiable information (PII) is used in the test environment, then the same controls required for systems containing PII must be applied to the test environment. Simulated PII information should be used to the maximum extent practicable when testing system functionality.\r\n\r\n',' AP-2, AR-3, DM-2, DM-3, SA-11, SA-15(9), SC-3, SC-7, UL-1'),(127,'CM-04(02)','Configuration Management','Non-Mandatory: Verification of Security Functions ','P3','','The organization must ensure changes in information system security functions are verified:a. To be implemented per approved design;b. To integrate and operate as intended; and c. To produce expected results.\r\n\r\n','Implementation in this context refers to installing changed code in the operational information system. In general, the goal is to verify that system changes do not adversely impact security functions and the system’s ability to meet mission requirements.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIf a system change is made, verification of Privacy Overlay security control functions is required to ensure continued compliance with privacy-related statutes and regulations.\r\n\r\n',' SA-11'),(128,'CM-05','Configuration Management','Access Restrictions for Change ','P1','High; Moderate','The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system. Records reflecting all such changes must be generated, reviewed, and retained.\r\n\r\n','Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).\r\n\r\n',' AC-3, AC-6, PE-3'),(129,'CM-05(01)','Configuration Management','Automated Access Enforcement/Auditing ','P1','High','The information system enforces access restrictions and supports auditing of the enforcement actions.\r\n\r\n','Organizations log access records associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes.\r\n\r\n',' AU-2, AU-6, AU-12, CM-3, CM-6'),(130,'CM-05(02)','Configuration Management','Review System Changes ','P1','High','The organization reviews information system changes:a. At least once a week; andb. When unauthorized changes or unexpected levels of system performance are indicated.\r\n\r\n','Indications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.The results of the review include evidence of control effectiveness and recommendations for correcting any deficiencies are documented.\r\n\r\n',' AU-6, AU-7, CM-3, CM-5, PE-6, PE-8'),(131,'CM-05(03)','Configuration Management','Signed Components ','P1','High','The information system prevents the installation of network and server software and firmware components without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.\r\n\r\n','Software and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. The use of digital signatures, in conjunction with organizational verification of such signatures, is a method of code authentication.\r\n\r\n',' CM-7, SC-13, SI-7'),(132,'CM-06','Configuration Management','Configuration Settings ','P1','High; Moderate; Low','The organization: a. Establishes and documents configuration settings for information technology products employed within the information system using the latest security baseline configurations established by the HHS, U.S. Government Configuration Baselines (USGCB), and the National Checklist Program (NCP) defined by NIST SP 800-70 Rev. 2 (refer to Implementation Standard 1 for specifics) that reflect the most restrictive mode consistent with operational requirements; b. Implements the configuration settings; c. Identifies, documents, and approves any deviations from established configuration settings for individual components within the information system based on explicit operational requirements (defined in the applicable system security plan); and d. Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.\r\n\r\n','Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, and directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of each system’s baseline configuration.Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the USGCB which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.Legacy operating systems without ongoing vendor support, such as Windows XP or older desktop OS, Windows Server 2003 or older server OS, Solaris 9 or older OS, or Red Hat Linux 9 or older, are only permissible if documented within the Risk Assessment and System Security Plan and authorized by the Authorizing Official (AO).\r\n\r\n',' AC-19, CM-2, CM-3, CM-7, CM-8, SI-4'),(133,'CM-06(01)','Configuration Management','Automated Central Management/Application/Verification ','P1','High','The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for information system components as defined in the HHS Minimum Security Configuration Standards for Departmental Operating Systems and Applications.\r\n\r\n','None.\r\n\r\n',' CA-7, CM-4'),(134,'CM-06(02)','Configuration Management','Respond to Unauthorized Changes ','P1','High','The organization responds to unauthorized changes to information system and components (e.g., authorization, auditing, processing types, baseline configurations) and data (e.g., system libraries, log files, executables) in the following ways:a. Alert responsible actors (person, organization);b. Restore to approved configuration; andc. Halt system processing as warranted.\r\n\r\n','Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in the extreme case, halting affected information system processing.\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nInformation on the US Government Configuration Baseline (USGCB) checklists can be found at:  HYPERLINK \"http://usgcb.nist.gov/usgcb_faq.html\" l \"usgcbfaq_usgcbfdcc\" .\r\n\r\n',' IR-4, SI-7'),(135,'CM-07','Configuration Management','Least Functionality ','P1','High; Moderate; Low','The organization: a. Configures the information system to provide only essential capabilities; and b. Prohibits or restricts the use of high-risk system services, ports, network protocols, and capabilities (e.g., Telnet, FTP, etc.) across network boundaries that are not explicitly required for system or application functionality. c. A list of specifically needed system services, ports, and network protocols must be maintained and documented in the applicable security plan; all others will be disabled.\r\n\r\n','Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., VoIP, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., USB, FTP, and Hypertext Transfer Protocol [HTTP]) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nInformation on the USGCB checklists can be found at:  HYPERLINK \"http://usgcb.nist.gov/usgcb_faq.html\" l \"usgcbfaq_usgcbfdcc\" .\r\n\r\n',' AC-6, CM-2, RA-5, SA-5, SC-7'),(136,'CM-07(01)','Configuration Management','Periodic Review ','P1','High; Moderate','The organization: (a) Reviews the information system no less often than once every thirty (30) days to identify and eliminate unnecessary functions, ports, protocols, and/or services;(b) Performs automated reviews of the information system no less often than once every seventy-two (72) hours to identify changes in functions, ports, protocols, and/or services; and (c) Disables functions, ports, protocols, and services within the information system deemed to be unnecessary and/or non-secure.\r\n\r\n','The organization can either determine the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' AC-18, CM-7, IA-2'),(137,'CM-07(02)','Configuration Management','Prevent Program Execution ','P1','High; Moderate','The information system prevents program execution in accordance with policies regarding authorized software use which include, but are not limited to the following: a. Software must be legally licensed; b. Software must be provisioned in approved configurations; and c. Users must be authorized for software program use.\r\n\r\n','This control enhancement addresses organizational policies restricting software usage as well as the terms and conditions imposed by the developer or manufacturer including, for example, software licensing and copyrights. Restrictions include, for example, restricting the roles allowed to approve program execution; prohibiting auto-execute; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time.\r\n\r\n',' CM-8, PM-5'),(138,'CM-07(04)','Configuration Management','Unauthorized Software/Blacklisting ','P1','Moderate','Per NIST SP 800-53r4, when software whitelisting (CM-7(5), Authorized Software/ Whitelisting) has been implemented for systems with a FIPS 199 security categorization of Moderate, this control enhancement is not required. If software whitelisting (CM-7(5)) is not implemented, the organization: a. Identifies defined software programs (defined in the applicable security plan) not authorized to execute on the information system; b. Employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system; c. Reviews and updates the list of unauthorized software programs no less often than every seventy-two (72) hours; andd. Receives automated updates from a trusted source.\r\n\r\n','The process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5), Authorized Software/Whitelisting, instead of this control enhancement if whitelisting (the stronger of the two capabilities) is the preferred approach for restricting software program execution. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' CM-6, CM-8, PM-5'),(139,'CM-07(05)','Configuration Management','Authorized Software/Whitelisting ','P1','High','The organization: a. Identifies defined software programs (defined in the applicable security plan) authorized to execute on the information system; b. Employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; c. Reviews and updates the list of authorized software programs no less often than every seventy-two (72) hours; andd. Receives automated updates from a trusted source.\r\n\r\nSystems defined as CSPs:\r\n\r\nHigh & Moderate:\r\n\r\nThe organization: a. Identifies defined software programs (defined in the applicable security plan) authorized to execute on the information system; b. Employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; c. Reviews and updates the list of authorized software programs no less often than every seventy-two (72) hours; andd. Receives automated updates from a trusted source.\r\n\r\n','The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup. Control enhancement CM-7(5) is only required for systems categorized under FIPS-199 as HIGH. Implementation of whitelisting is an option for all systems (e.g., to include any system categorized under FIPS-199 as MODERATE and LOW). If the system owner/business owner chooses to implement CM-7(5) on systems categorized under FIPS-199 as MODERATE and LOW, CM-7(4) does not have to be implemented.Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' CM-2, CM-6, CM-8, PM-5, SA-10, SC-34, SI-7'),(140,'CM-07(05)','Configuration Management','Non-Mandatory: Authorized Software/Whitelisting ','P3','Moderate; Low','Per NIST SP 800-53r4, when software whitelisting is implemented under FIPS 199 security categorizations as Moderate, software blacklisting (CM-7(4), Unauthorized Software/Blacklisting) is not required. If software whitelisting is implemented, the organization: a. Identifies defined software programs (defined in the applicable security plan) authorized to execute on the information system; b. Employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; c. Reviews and updates the list of authorized software programs no less often than every seventy-two (72) hours; andd. Receives automated updates from a trusted source.\r\n\r\n','Per NIST SP 800-53r4, this control may be used in place of CM-7(4), Unauthorized Software/Blacklisting.  Control enhancement CM-7(5) is only required for systems categorized under FIPS-199 as HIGH. Implementation of whitelisting is an option for all systems (e.g., to include any system categorized under FIPS-199 as MODERATE and LOW). If the system owner/business owner chooses to implement CM-7(5) on systems categorized under FIPS-199 as MODERATE and LOW, CM-7(4) does not have to be implemented.The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' CM-2, CM-6, CM-8, PM-5, SA-10, SC-34, SI-7'),(141,'CM-08','Configuration Management','Information System Component Inventory ','P1','High; Moderate; Low','The organization: a. Develops and documents an inventory of information system components that:  1. Accurately reflects the current information system;  2. Include all components within the authorization boundary of the information system;  3. Are at the level of granularity deemed necessary for tracking and reporting; and  4. Includes:     - Each component’s unique identifier and/or serial number;     - Information system of which the component is a part;     - Type of information system component (e.g., server, desktop, application);     - Manufacturer/model information;     - Operating system type and version/service pack level;     - Presence of virtual machines;     - Application software version/license information;     - Physical location (e.g., building/room number);     - Logical location (e.g., IP address, position with the information system [IS] architecture);     - Media access control (MAC) address;     - Ownership;     - Operational status;     - Primary and secondary administrators; and    - Primary user. b. Reviews and updates the information system component inventory no less frequently than every 180 days for High systems or 365 days for Moderate and Low systems, or per CM-8(1) and/or CM-8(2), as applicable.\r\n\r\n','Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nInformation deemed necessary to achieve effective property accountability may include hardware inventory specifications (manufacturer, type, model, serial number, physical location), software license information, information system/component owner, and for a networked component/device, the machine name and network address.\r\n\r\n',' CM-2, CM-6, PM-5'),(142,'CM-08(01)','Configuration Management','Updates During Installations/ Removals ','P1','High; Moderate','The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.\r\n\r\n','No generic guidance.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nIdentifying any changes or updates to system inventories allows organizations to accurately track the equipment on which their information systems are run and to maintain an accurate inventory of hardware and software used to collect and manage PHI. Maintaining a current inventory supports accountability controls and may also support breach response efforts.\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nIn many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to an information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.\r\n\r\n',' '),(143,'CM-08(02)','Configuration Management','Automated Maintenance ','P1','High','The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.\r\n\r\n','Organizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.\r\n\r\n',' SI-7'),(144,'CM-08(03)','Configuration Management','Automated Unauthorized Component Detection ','P1','High; Moderate','The organization: a. Employs automated mechanisms no less than weekly to detect the presence of unauthorized hardware, software, and firmware components within the information system; and b. Takes the following actions when unauthorized components and/or provisioned configurations are detected:  1. Disable access to the identified component; 2. Disable the identified component’s network access;  3. Isolate the identified component; and 4. Notify the responsible actor (i.e., person/organization-defined in security plan).\r\n\r\n','This control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.\r\n\r\n',' AC-17, AC-18, AC-19, CA-7, CM-8, RA-5, SI-3, SI-4, SI-7'),(145,'CM-08(04)','Configuration Management','Accountability Information ','P1','High','The organization includes in the information system component inventory information, a means for identifying by position and role, and individuals responsible/accountable for administering those components.\r\n\r\n','Identifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach or compromise, component needs to be recalled/replaced, or component needs to be relocated).\r\n\r\n',' '),(146,'CM-08(05)','Configuration Management','No Duplicate Accounting of Components ','P1','High; Moderate','The organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories.\r\n\r\n','This control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.\r\n\r\n',' '),(147,'CM-09','Configuration Management','Configuration Management Plan ','P1','High; Moderate','The organization develops, documents, and implements a configuration management plan for the information system that: a. Addresses roles, responsibilities, and configuration management processes and procedures; b. Establishes a process for identifying and managing configuration items throughout the system development life cycle; c. Defines the configuration items for the information system;d. Places the configuration items under configuration management; and e. Protects the configuration management plan from unauthorized disclosure and modification.\r\n\r\n','Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baseline configurations, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.\r\n\r\n',' CM-2, CM-3, CM-4, CM-5, CM-8, SA-10'),(148,'CM-10','Configuration Management','Software Usage Restrictions ','P2','High; Moderate; Low','The organization: a. Uses software and associated documentation in accordance with contract agreements and copyright laws; b. Tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and c. Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.\r\n\r\n','Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.\r\n\r\n',' AC-17, CM-8, SC-7'),(149,'CM-11','Configuration Management','User-Installed Software ','P1','High; Moderate; Low','The organization: a. Prohibits the installation of software by users on all GFE; b. Enforces software installation policies through organization-defined methods (defined in the applicable security plan); and c. Monitors policy compliance at least monthly.\r\n\r\n','If provided the necessary privileges, users can install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved “app stores.” Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.\r\n\r\n',' AC-3, CM-2, CM-3, CM-5, CM-6, CM-7, PL-4'),(150,'CP-01','Contingency Planning','Contingency Planning Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. A contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls. b. Reviews and updates (as necessary) the current:    1. Contingency planning policy at least every three (3) years or as necessitated by significant change.   2. Contingency planning procedures at least every three (3) years or as necessitated by significant change.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the Contingency Planning (CP) family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nContingency planning policy and procedures must take privacy-applicable requirements into account so that executing contingency measures does not result in avoidable privacy incidents and breaches.\r\n\r\n',' PM-9'),(151,'CP-02','Contingency Planning','Contingency Plan ','P1','High; Moderate; Low','The organization: a. Develops a contingency plan for the information system in accordance with NIST SP 800-34 that:    1. Identifies essential COSA missions and business functions and associated contingency requirements;    2. Provides recovery objectives, restoration priorities, and metrics;    3. Addresses contingency roles and responsibilities, and assigns these to specific individuals with contact information;    4. Addresses maintaining essential COSA missions and business functions despite an information system disruption, compromise, or failure;    5. Addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and    6. Is reviewed and approved by designated officials within the organization. b. Distributes copies of the contingency plan to the ISSO, Business Owner, Contingency Plan Coordinator (CPC), and other stakeholders identified within the contingency plan; c. Coordinates contingency planning activities with incident handling activities; d. Reviews the contingency plan for the information system within every three hundred sixty-five (365) days; e. Updates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing; f. Communicates contingency plan changes to key contingency personnel, system administrator, database administrator, and other personnel/roles as appropriate and organizational elements identified above; and g. Protects the contingency plan from unauthorized disclosure and modification.\r\n\r\n','Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are impacted.  The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nContingency plans must take privacy-applicable requirements into account so that executing contingency measures does not result in avoidable privacy incidents and breaches.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe contingency plan for systems containing PHI must include:  1)    Data backup plan,  2)    Disaster recovery plan,  3)    Emergency mode operation plan, and   4)    Emergency access procedures.Additionally, the decision to include the following is dependent on a risk analysis to determine if or to what extent these should be included in the contingency plan:  1)    Testing and revision procedures,  2)    Applications and data criticality analysis, and  3)    Contingency operations (i.e., procedures that allow facility access in support of restoration of lost data.\r\n\r\n',' AC-14, CP-6, CP-7, CP-8, CP-9, CP-10, IR-4, IR-8, MP-2, MP-4, MP-5, PM-8, PM-11'),(152,'CP-02(01)','Contingency Planning','Coordinate with Related Plans ','P1','High; Moderate','The organization coordinates contingency plan development with organizational elements responsible for related plans.\r\n\r\n','Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans (COOP), Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.\r\n\r\n',' '),(153,'CP-02(02)','Contingency Planning','Capacity Planning ','P1','High','The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.\r\n\r\n','Capacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber-attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.\r\n\r\n',' '),(154,'CP-02(03)','Contingency Planning','Resume Essential Missions/Business Functions ','P1','High; Moderate','The organization plans for the resumption of essential missions and business functions within the approved Maximum Tolerable Downtime (MTD) for the business functions.\r\n\r\n','Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.\r\n\r\n',' PE-12'),(155,'CP-02(04)','Contingency Planning','Resume All Missions/Business Functions ','','High','The organization plans for the resumption of all missions and business functions within the approved Maximum Tolerable Downtime (MTD) for the business functions.\r\n\r\n','Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.\r\n\r\n',' PE-12'),(156,'CP-02(05)','Contingency Planning','Continue Essential Missions/Business Functions ','P1','High','The organization plans for the continuance of Primary Mission Essential Functions (PMEF) with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.\r\n\r\n','Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nPursuant to the emergency mode operations plan and emergency access procedure mandated under HIPAA, this control is required for both provision of emergency services (a mission critical business function), and for protection of the security of PHI while operating in emergency mode.\r\n\r\n',' PE-12'),(157,'CP-02(08)','Contingency Planning','Identify Critical Assets ','P1','High; Moderate','The organization identifies information system assets supporting essential missions and business functions.\r\n\r\n','Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can aid in identifying critical assets.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThis control addresses the HIPAA Security Rule requirement to assess the relative criticality of specific applications and data to facilitate a risk-based contingency plan.Under the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' SA-14, SA-15'),(158,'CP-03','Contingency Planning','Contingency Training ','P2','High; Moderate; Low','The organization provides contingency training to operational and support personnel (including managers and information system users) consistent with assigned roles and responsibilities: a. Within ninety (90) days of assuming a contingency role or responsibility; b. When required by information system changes; andc. Within every three hundred sixty-five (365) days thereafter.\r\n\r\n','Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.Managers responsible for contingency operations and technical personnel should meet, at a minimum, once a year for review of contingency policies and procedures. Each review session should be documented and confirm that appropriate training has been completed.\r\n\r\n',' AT-2, AT-3, CP-2, IR-2'),(159,'CP-03(01)','Contingency Planning','Simulated Events ','P2','High','The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.\r\n\r\n','None.\r\n\r\n',' '),(160,'CP-04','Contingency Planning','Contingency Plan Testing ','P2','High; Moderate; Low','The organization: a. Tests the contingency plan for the information system within every three hundred sixty-five (365) days using NIST (NIST SP 800-34, NIST SP 800-84) and COSA -defined tests and exercises, such as tabletop tests, in accordance with the current COSA contingency plan procedure to determine the effectiveness of the plan and the organizational readiness to execute the plan; b. Reviews the contingency plan test results; and c. Initiates corrective actions, if needed.\r\n\r\nSystems defined as CSPs:\r\n\r\nThe organization:a. Tests the contingency plan for the information system within every three hundred sixty-five (365) days using NIST or COSA -defined tests and exercises, such as tabletop tests, in accordance with the current COSA contingency plan procedure to determine the effectiveness of the plan and the organizational readiness to execute the plan;b. Reviews the contingency plan test results; andc. Initiates corrective actions, if needed.\r\n\r\n','Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nContingency plan tests and exercises should include an evaluation of the ability to meet privacy requirements in a contingency scenario as well as corrective measures to address any privacy risks identified.Under the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' CP-2, CP-3, IR-3'),(161,'CP-04(01)','Contingency Planning','Coordinate with Related Plans ','P2','High; Moderate','The organization coordinates contingency plan testing with organizational elements responsible for related plans.\r\n\r\n','Plans related to contingency plans for organizational information systems include, for example, BCPs, DRPs, COOPs, Crisis Communications Plans, Critical Infrastructure Protect (CIP) Plans, Cyber Incident Response Plans, and OEPs. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.Organizations require a suite of plans to prepare themselves for response, continuity, recovery, and resumption of mission/business processes and information systems in the event of a disruption. Each plan has a specific purpose and scope:   1. COOP   2. BCP   3. CIP Plan   4. DRP   5. ISCP   6. Cyber Incident Response Plan   7. OEP\r\n\r\n',' IR-8, PM-8'),(162,'CP-04(02)','Contingency Planning','Alternate Processing Site ','P2','High','The organization tests the contingency plan at the alternate processing site: a. To familiarize contingency personnel with the facility and available resources; and b. To evaluate the capabilities of the alternate processing site to support contingency operations.\r\n\r\n','None.\r\n\r\n',' CP-7'),(163,'CP-04(04)','Contingency Planning','Non-Mandatory: Full Recovery/Reconstitution ','P3','','The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.\r\n\r\n','This control enhancement is highly recommended for any system designated as a High Value Asset (HVA)\r\n\r\n',' CP-10, SC-24'),(164,'CP-06','Contingency Planning','Alternate Storage Site ','P1','High; Moderate','The organization: a. Establishes an alternate storage site, including necessary agreements to permit the storage and retrieval of information system backup information; and b. Ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.\r\n\r\n','Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data if the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.\r\n\r\n',' CP-2, CP-7, CP-9, CP-10, MP-4'),(165,'CP-06(01)','Contingency Planning','Separation from Primary Site ','P1','High; Moderate','The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.\r\n\r\n','Threats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber-attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one threat (i.e., hostile cyber-attack), the degree of separation between sites is less relevant.\r\n\r\n',' RA-3'),(166,'CP-06(02)','Contingency Planning','Recovery Time/Point Objectives ','P2','High','The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.\r\n\r\n','None.\r\n\r\n',' '),(167,'CP-06(03)','Contingency Planning','Accessibility ','P1','High; Moderate','The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\r\n\r\n','Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example: (i) duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or (ii) planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.\r\n\r\n',' RA-3'),(168,'CP-07','Contingency Planning','Alternate Processing Site ','P1','High; Moderate','The organization: a. Establishes an alternate processing site, including necessary agreements to permit the transfer and resumption of information system operation types defined by COSA for essential missions/business functions within an allowable outage time as specified by the system contingency plan or COOP for the business function(s) supported by the system when the primary processing capabilities are unavailable; b. Ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and c. Ensures that the alternate processing site provides information security safeguards equivalent to that of the primary site.\r\n\r\n','Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability if the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.Equipment and supplies required to resume operations within the COSA-defined period are either available at the alternate site or contracts are in place to support delivery to the site. Timeframes to resume information system operations are consistent with COSA recovery time objectives.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen an alternate processing site is used, administrative, physical and technical controls must be implemented to protect personally identifiable information (PII) in accordance with the privacy risks identified.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nWhen an alternate processing site is used, administrative, physical and technical controls must be implemented to protect PHI in accordance with the organization’s risk analysis.\r\n\r\n',' CP-2, CP-6, CP-8, CP-9, CP-10, MA-6'),(169,'CP-07(01)','Contingency Planning','Separation from Primary Site ','P1','High; Moderate','The organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.\r\n\r\n','Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber-attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one threat (i.e., hostile cyber-attack), the degree of separation between sites is less relevant.\r\n\r\n',' RA-3'),(170,'CP-07(02)','Contingency Planning','Accessibility ','P1','High; Moderate','The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\r\n\r\n','Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.\r\n\r\n',' RA-3'),(171,'CP-07(03)','Contingency Planning','Priority of Service ','P1','High; Moderate','The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with the organizational availability requirements (including recovery time objectives).\r\n\r\n','Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.\r\n\r\n',' '),(172,'CP-07(04)','Contingency Planning','Preparation for Use ','P2','High','The organization prepares the alternate processing site so the site is ready to be used as the operational site supporting essential COSA missions and business functions.\r\n\r\n','Site preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.\r\n\r\n',' CM-2, CM-6'),(173,'CP-08','Contingency Planning','Telecommunications Services ','P1','High; Moderate','The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of information system operations for essential COSA missions and business functions within the resumption time specified in Implementation Standard 1 when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.\r\n\r\n','This control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering alternate telecommunications agreements.\r\n\r\n',' CP-2, CP-6, CP-7'),(174,'CP-08(01)','Contingency Planning','Priority of Service Provisions ','P1','High; Moderate','The organization: a. Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and b. Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier.\r\n\r\n','Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.\r\n\r\n',' '),(175,'CP-08(02)','Contingency Planning','Single Points of Failure ','P1','High; Moderate','The organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.\r\n\r\n','None.\r\n\r\n',' '),(176,'CP-08(03)','Contingency Planning','Separation of Primary/Alternate Providers ','P2','High','The organization obtains alternate telecommunications services from providers that are separated from primary service providers so as not to be susceptible to the same hazards.\r\n\r\n','Threats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.\r\n\r\n',' '),(177,'CP-08(04)','Contingency Planning','Provider Contingency Plan ','P2','High','The organization: a. Requires primary and alternate telecommunications service providers to have contingency plans; b. Reviews provider contingency plans to ensure that the plans meet organizational contingency requirements; and c. Obtains evidence of contingency testing/training by providers within every 365 days.\r\n\r\n','Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with DHS and state and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.\r\n\r\n',' '),(178,'CP-09','Contingency Planning','Information System Backup ','P1','High; Moderate; Low','The organization: a. Conducts backups of user-level information contained in the information system in accordance with the frequency specified in Implementation Standard 1; b. Conducts backups of system-level information contained in the information system in accordance with the frequency specified in Implementation Standard 1; c. Conducts backups of information system documentation, including security-related documentation and other forms of data, including paper records within the defined frequency (defined in the applicable security plan) consistent with recovery time and recovery point objectives; and d. Protects the confidentiality, integrity, and availability of backup information at storage locations.\r\n\r\n','System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.The transfer rate of backup information to an alternate storage site (if so designated) is guided by the COSA recovery time objectives and recovery point objectives. Checkpoint capabilities are part of any backup operation that updates files and consumes large amounts of information system time.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBackup copies of information need to be protected with the same level of security as if that information were being maintained on the original information system. Applicable controls necessary to achieve this and to protect confidentiality include encryption of the backup. Backing up information helps maintain the integrity of the data—a requirement of the Privacy Act and HIPAA.\r\n\r\n',' CP-2, CP-6, MP-4, MP-5, SC-13, SC-28'),(179,'CP-09(01)','Contingency Planning','Testing for Reliability/Integrity ','P1','High; Moderate','The organization tests backup information following each backup, at least every three months for High systems or six months for Moderate systems, to verify media reliability and information integrity.\r\n\r\n','None.\r\n\r\n',' CP-4'),(180,'CP-09(02)','Contingency Planning','Test Restoration Using Sampling ','P2','High','The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.\r\n\r\n','None.\r\n\r\n',' CP-4'),(181,'CP-09(03)','Contingency Planning','Separate Storage for Critical Information ','P1','High','The organization stores backup copies of the operating system and other critical information system software, as well as copies of the information system inventory (including hardware, software, and firmware components) in a separate facility or in a fire-rated container that is not collocated with the operational system.\r\n\r\nSystems defined as CSPs:\r\n\r\nThe organization stores backup copies of the operating system and other critical information system software, as well as copies of the information system inventory (including hardware, software, and firmware components) in a separate facility or in a fire-rated container that is not collocated with the operational system.\r\n\r\n','Critical system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nCritical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.\r\n\r\n',' CM-2, CM-8'),(182,'CP-09(05)','Contingency Planning','Transfer to Alternate Storage Site ','P2','High','The organization transfers information system backup information to the alternate storage site at defined time periods (defined in the applicable security plan) and transfer rates (defined in the applicable security plan) consistent with the recovery time and recovery point objectives.\r\n\r\n','Information system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.\r\n\r\n',' '),(183,'CP-10','Contingency Planning','Information System Recovery and Reconstitution ','P1','High; Moderate; Low','The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure. Recovery of the information system after a failure or other contingency must be done in a trusted, secure, and verifiable manner.\r\n\r\n','Recovery is executing information system contingency plan activities to restore COSA missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nInformation system recovery and reconstitution is an important step to restoring sensitive information, such as both personally identifiable information (PII) and protected health information (PHI), to an accurate state following execution of a contingency plan.\r\n\r\n',' CA-2, CA-6, CA-7, CP-2, CP-6, CP-7, CP-9, SC-24'),(184,'CP-10(02)','Contingency Planning','Transaction Recovery ','P1','High; Moderate','The information system implements transaction recovery for systems that are transaction-based.\r\n\r\n','Transaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.\r\n\r\n',' '),(185,'CP-10(04)','Contingency Planning','Restore within Time Period ','P1','High','The organization provides the capability to restore information system components within the target restoration time from configuration-controlled and integrity-protected information representing a known, operational state for the components.\r\n\r\n','Restoration of information system components includes, for example, reimaging which restores components to known, operational states.\r\n\r\n',' CM-2'),(186,'IA-01','Identification and Authentication','Identification and Authentication Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:   1. An identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and   2. Procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls. b. Reviews and updates (as necessary) the current:   1. Identification and authentication policy at least every three (3) years; and   2. Identification and authentication procedures at least every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' PM-9'),(187,'IA-02','Identification and Authentication','Identification and Authentication ','P1','High; Moderate; Low','The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).\r\n\r\n','Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case of multifactor authentication, some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted VPNs for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network.Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., a biometric identifier). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government PIV card and the Department of Defense (DoD) common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nImplementing this control ensures unique identification of an individual’s account, preventing anonymous access to sensitive information such as personally identifiable information (PII) and providing appropriate access (e.g., where there is a need for the PII in the performance of the user’s official duties) for organizational users. The HIPAA Security Rule requires that organizations uniquely identify users and implement procedures to verify user identity.\r\n\r\n',' AC-2, AC-3, AC-14, AC-17, AC-18, IA-4, IA-5, IA-8'),(188,'IA-02(01)','Identification and Authentication','Network Access to Privileged Accounts ','P1','High; Moderate; Low','The information system implements multifactor authentication (MFA) for network access to privileged accounts.\r\n\r\n','Multifactor authentication requires the use of two or more different factors to achieve authentication. Factors are defined as follows: something you know, for example, a password or personal identification number (PIN); something you have, for example, a physical authenticator or cryptographic identification device; or something you are, for example, a biometric. Multifactor solutions that feature physical authenticators include, for example, hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD common access card. In addition to authenticating users at the system level (i.e., at logon), organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, or remote) privileged accounts are always authenticated using multifactor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.Authentication mechanisms must comply with the RMH, Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\n',' AC-6'),(189,'IA-02(02)','Identification and Authentication','Network Access to Non-Privileged Accounts ','P1','High; Moderate','The information system implements MFA for network access to non-privileged accounts.\r\n\r\n','Multifactor authentication requires the use of two or more different factors to achieve authentication. Factors are defined as follows: something you know, for example, a personal identification number (PIN); something you have, for example, a physical authenticator or cryptographic private key stored in hardware or software; or something you are, for example, a biometric. Multifactor solutions that feature physical authenticators include, for example, hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD common access card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Organizations can also provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.Authentication mechanisms must comply with the RMH, Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\n',' '),(190,'IA-02(03)','Identification and Authentication','Local Access to Privileged Accounts ','P1','High; Moderate','The information system implements MFA for local access to privileged accounts.\r\n\r\n','Authentication mechanisms must comply with the RMH, Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\n',' AC-6'),(191,'IA-02(04)','Identification and Authentication','Local Access to Non-Privileged Accounts ','P1','High','The information system implements MFA for local access to non-privileged accounts.\r\n\r\n','Authentication mechanisms must comply with the RMH, Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\n',' '),(192,'IA-02(06)','Identification and Authentication','Non-Mandatory: Network Access to Privileged Accounts – Separate Device ','P3','','The information system implements MFA for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets minimum token requirements discussed in the RMH, Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\n','Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nRequiring MFA to privileged accounts provides added assurance that a privileged user, who likely has elevated privileges with access to sensitive information such as PII, has proven their identity during the authentication process. OMB policy requires the use of two-factor authentication with one factor being separate from the computer itself. MFA provides heightened assurance of identity during the authentication process. OMB policy requires the use of two-factor authentication with one factor being separate from the computer itself.  A separate device would include a Common Access Card (CAC). This control is required when the network access is remote (from outside the organization-controlled networks).\r\n\r\n',' AC-6'),(193,'IA-02(07)','Identification and Authentication','Non-Mandatory: Network Access to Non-Privileged Accounts – Separate Device','P3','','The information system implements MFA for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets minimum token requirements discussed in the RMH, Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\n','Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control is required for remote network access to information systems containing personally identifiable information (PII) (from outside the organization controlled networks). A separate device could include a common access card (CAC).\r\n\r\n',' '),(194,'IA-02(08)','Identification and Authentication','Network Access to Privileged Accounts - Replay Resistant ','P1','High; Moderate','The information system implements replay-resistant authentication mechanisms for network access to privileged accounts.\r\n\r\n','Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use cryptographic nonces (e.g., an arbitrary number that may only be used once such as an RSA token numeric) or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.\r\n\r\n',' '),(195,'IA-02(09)','Identification and Authentication','Network Access to Non-Privileged Accounts - Replay Resistant ','P1','High','The information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.\r\n\r\n','Authentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces (e.g., RSA token numeric) or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.\r\n\r\n',' '),(196,'IA-02(11)','Identification and Authentication','Remote Access - Separate Device ','P1','High; Moderate; Low','The information system implements MFA for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets minimum token requirements discussed in the RMH, Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\n','For remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nA separate device could include a personal identity verification (PIV) card. This control is required when the network access is remote (from outside the organization controlled networks).\r\n\r\n',' AC-6, SC-13'),(197,'IA-02(12)','Identification and Authentication','Acceptance of PIV Credentials ','P1','High; Moderate; Low','The information system accepts and electronically verifies PIV credentials.\r\n\r\n','This control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.\r\n\r\n',' AU-2, PE-3, SA-4'),(198,'IA-03','Identification and Authentication','Device Identification and Authentication ','P1','High; Moderate','The information system uniquely identifies and authenticates defined types of devices (defined in the applicable security plan) that require authentication mechanisms, which, at a minimum, use shared information (MAC or IP address) and access control lists to control remote network access prior to establishing the connection. If remote authentication is provided by the system itself, the system must follow OMB Memorandum 04-04, E-Authentication Guidance for Federal Agencies.\r\n\r\n','Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or TCP/IP addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.Note: At a minimum, COSA information systems should be filtered by MAC and/or IP address when accessing remote systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nImplementing this control ensures that un-authenticated devices, e.g., mobile devices and personal laptop computers, are not able to make a connection to an information system containing PHI. HIPAA requires technical policies and procedures for systems that maintain PHI to allow access only to those persons or software programs that have been granted access rights.\r\n\r\n',' AC-17, AC-18, AC-19, CA-3, IA-4, IA-5'),(199,'IA-04','Identification and Authentication','Identifier Management ','P1','High; Moderate; Low','The organization manages information system identifiers by: a. Receiving authorization from defined personnel or roles (defined in the applicable security plan) to assign an individual, group, role, or device identifier; b. Selecting an identifier that identifies an individual, group, role, or device; c. Assigning the identifier to the intended individual, group, role, or device; d. Preventing reuse of identifiers until all previous access authorizations are removed from the system, including all file accesses for that identifier but not before a period of three (3) years or more has passed; and e. Disabling the identifier after the following periods of in activity: 30 days for High, 60 days for Moderate, or 90 days for Low systems.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSocial security numbers (SSNs), and parts of SSNs, must not be used as system identifiers. Identifier management must ensure that any access to, or action involving, personally identifiable information (PII) is attributable to a unique individual.\r\n\r\n','Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIdentifiers are a critical and necessary function to confirm which people and devices are accessing sensitive information such as PII. Using SSNs as identifiers may create the potential for unauthorized disclosure of the SSN and linkage of that individual to other PII, as system identifiers are not protected with the same level of security as are database elements or passwords. In addition, collecting an individual’s SSN may create notice requirements under the Privacy Act.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nIdentifier management must ensure that any access to, or action involving, PHI is attributable to a unique individual.\r\n\r\n',' AC-2, IA-2, IA-3, IA-5, IA-8, SC-37'),(200,'IA-04(03)','Identification and Authentication','Non-Mandatory: Multiple Forms of Certification ','P3','','The organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.\r\n\r\n','Requiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.Additional guidance on certification and registration can be found in NIST SP 800-63, Electronic Authentication Guideline, as amended. NIST 800-83 defines a registration authority (RA) as a trusted entity that establishes and vouches for the identity of a subscriber to a CSP. The RA may be an integral part of a CSP, or it may be independent of a CSP, but it has a relationship to the CSP(s).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIdentity proofing registration process is mandatory for Federal Employees, Contractors, and Service Members.\r\n\r\n',' '),(201,'IA-05','Identification and Authentication','Authenticator Management ','P1','High; Moderate; Low','Non-standard account-authenticator management specifications are addressed in the COSA RMH, Volume III, Standard 4.3, Non-Standard Authenticator Management. For all others, the organization manages information system authenticators by: a. Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator; b. Establishing initial authenticator content for authenticators defined by the organization; c. Ensuring that authenticators have sufficient strength of mechanism for their intended use; d. Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators; e. Changing default content of authenticators prior to information system installation; f. Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators; g. Changing/refreshing authenticators as follows:    - Passwords are valid for no longer than the period directed in IA-5(1) immediately in the event of known or suspected compromise, and immediately upon system installation (e.g. default or vendor-supplied passwords);    - PIV compliant access cards are valid for no longer than five (5) years;    - PKI certificates issued in accordance with the Federal PKI Common Policy are valid for no longer than three (3) years; and   - Any PKI authentication request must be validated by Online Certificate Status Protocol (OCSP) or Certificate Revocation List (CRL) to ensure that the certificate being used for authentication has not been revoked.h. Protecting authenticator content from unauthorized disclosure and modification; i. Requiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and j. Changing authenticators for group/role accounts when membership to those accounts changes.\r\n\r\n','Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well-known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAdequate security to ensure confidentiality for an information system containing sensitive information such as personally identifiable information (PII) is achieved through the management of the authenticators permitting access to that system. Authenticator management includes periodically changing passwords or other identifiers (e.g., certification and signatures) to reinforce identity validation and adherence to administrative security policies as well as enforces a time-based restriction on access, all of which bound access to PII in some way, limiting exposure in the event a user account is compromised.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' AC-2, AC-3, AC-6, CM-6, IA-2, IA-4, IA-8, PL-4, PS-5, PS-6, SC-12, SC-13, SC-17, SC-28'),(202,'IA-05(01)','Identification and Authentication','Password-Based Authentication ','P1','High; Moderate; Low','Non-standard account-authenticator management specifications are addressed in the COSA RMH, Volume III, Standard 4.3, Non-Standard Authenticator Management. For all other password-based authentication, the information systems follow the direction in the applicable baseline configurations per CM-6, or if more stringent, the information system, for password-based authentication: a. Prohibits the use of dictionary names or words; b. Meets or exceeds enforcement of the following minimum password requirements:    - MinimumPasswordAge = one (1) day;   - MaximumPasswordAge = sixty (60) days;    - MinimumPasswordLength = Minimum length of eight (8) characters for regular user passwords, and minimum length of fifteen (15) characters for administrators or privileged user passwords;    - PasswordComplexity = minimum (three (3) for High or one (1) for Moderate or Low) character(s) from the four (4) character categories (A-Z, a-z, 0-9, special characters; and    - PasswordHistorySize = twelve (12) passwords for High or six (6) passwords for Moderate or Low systems. c. The minimum length (MinimumPasswordLength) for administrators or privileged users is fifteen (15) characters;d. If the operating environment enforces a minimum of number of changed characters when new passwords are created, set the value at twelve (12) for High and six (6) for Moderate or Low systems; e. Stores and transmits only encrypted representations of passwords; and f. Allows the use of a temporary password for system logons with an immediate change to a permanent password.\r\n\r\n','This control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., PIV cards). The implementation of such password mechanisms may not meet all the requirements in the control enhancement. Encrypted representations of passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords.Mobile devices are excluded from the password complexity requirement.\r\n\r\n',' IA-6'),(203,'IA-05(02)','Identification and Authentication','PKI-Based Authentication ','P1','High; Moderate','The information system, for PKI-based authentication: a. Validates certifications by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information; b. Enforces authorized access to the corresponding private key; c. Maps the authenticated identity to the account of the individual or group; and d. Implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.\r\n\r\n','Status information for certification paths includes, for example, certificate revocation lists or online certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor, including certificate policy processing.\r\n\r\n',' IA-6'),(204,'IA-05(03)','Identification and Authentication','In-Person or Trusted Third-Party Registration ','P1','High; Moderate','The organization requires that the registration process to receive hardware administrative tokens and credentials used for two (2)-factor authentication be conducted in person before a designated registration authority with authorization by defined personnel or roles (defined in the applicable security plan).\r\n\r\n','None.\r\n\r\n',' '),(205,'IA-05(11)','Identification and Authentication','Hardware Token-Based Authentication ','P1','High; Moderate; Low','The information system, for hardware token-based authentication, employs mechanisms that satisfy minimum token requirements discussed in the RMH, Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\n','Hardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government PIV card. Organizations define specific requirements for tokens, such as those associated with PKI.\r\n\r\n',' '),(206,'IA-06','Identification and Authentication','Authenticator Feedback ','P2','High; Moderate; Low','The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.\r\n\r\n','The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nRestricting feedback from the authentication process limits ability of unauthorized users to compromise the authentication mechanisms for accounts that can access PHI.Under the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' PE-18'),(207,'IA-07','Identification and Authentication','Cryptographic Module Authentication ','P1','High; Moderate; Low','The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.\r\n\r\n','Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nInformation systems containing personally identifiable information (PII) must use FIPS 140-2 validated cryptographic modules.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' SC-12, SC-13'),(208,'IA-08','Identification and Authentication','Identification and Authentication ','P1','High; Moderate; Low','The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users) prior to gaining access to all Department systems and networks (unless a risk-based decision is made for a system that does not require non-organization user authentication).\r\n\r\n','Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.If E-Authentication is used, refer to Risk Management Handbook (RMH), Volume III, Standard 3.1, COSA Authentication Standards.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nLike IA-2, this control requires information systems to uniquely identify and authenticate system users that are not part of the organization as well as processes that act on behalf of another organization. This means no one is provided anonymous access to sensitive information, such as personally identifiable information (PII), and supports managing each user’s appropriate access to sensitive information.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' AC-2, AC-14, AC-17, AC-18, IA-2, IA-4, IA-5, MA-4, RA-3, SA-12, SC-8'),(209,'IA-08(01)','Identification and Authentication','Acceptance of PIV Credentials from Other Agencies ','P1','High; Moderate; Low','The information system accepts and electronically verifies PIV credentials from other federal agencies.\r\n\r\n','This control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.\r\n\r\n',' AU-2, PE-3, SA-4'),(210,'IA-08(02)','Identification and Authentication','Acceptance of Third-Party Credentials ','P1','High; Moderate; Low','The information system accepts only FICAM-approved third-party credentials.\r\n\r\n','This control enhancement typically applies to organizational information systems that are accessible to the public, for example, public-facing websites. Third-party credentials are those credentials issued by non-federal government entities approved by the Federal Identity, Credential and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows Federal Government relying parties to trust such credentials at their approved assurance levels.\r\n\r\n',' AU-2'),(211,'IA-08(03)','Identification and Authentication','Use of FICAM-Approved Products ','P1','High; Moderate; Low','The organization employs only FICAM-approved information system components in information systems that authenticate non-organizational users and accept third-party credentials.\r\n\r\n','This control enhancement typically applies to information systems that are accessible to the public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the FICAM Conformance Program.\r\n\r\n',' SA-4'),(212,'IA-08(04)','Identification and Authentication','Use of FICAM-Issued Profiles ','P1','High; Moderate; Low','The information system conforms to FICAM-issued profiles.\r\n\r\n','This control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).\r\n\r\n',' SA-4'),(213,'IR-01','Incident Response','Incident Response Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the incident response policy and associated incident response controls. b. Reviews and updates (as necessary) the current:    1. Incident response policy within every three (3) years; and    2. Incident response procedures within every three (3) years.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nApplicable personnel (item a) include the Incident Response Team as required by OMB M-17-12.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or, conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIn developing incident response policy and procedures, ensure those policies and procedures incorporates guidance from the privacy office for the handling of incidents involving personally identifiable information (PII).\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nIn developing incident response policy and procedures, ensure those policies and procedures incorporates guidance from the privacy office for the handling of incidents involving PHI.\r\n\r\n',' PM-9, SE-2'),(214,'IR-02','Incident Response','Incident Response Training ','P2','High; Moderate; Low','The organization provides incident response training to information system users consistent with assigned roles and responsibilities: a. Within one (1) month of assuming an incident response role or responsibility; b. When required by information system changes; and c. Within every three hundred sixty-five (365) days thereafter.\r\n\r\n','Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThose responsible for identifying and responding to a security incident must understand how to recognize when sensitive information such as personally identifiable information (PII) or protected health information (PHI) is involved so that they can coordinate with the designated (e.g., privacy) official.\r\n\r\n',' AT-3, CP-3, IR-8, AR-5'),(215,'IR-02(01)','Incident Response','Simulated Events ','P2','High','The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.\r\n\r\n','None.\r\n\r\n',' '),(216,'IR-02(02)','Incident Response','Automated Training Environments ','P2','High','The organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.\r\n\r\n','None.\r\n\r\n',' '),(217,'IR-03','Incident Response','Incident Response Testing ','P2','High; Moderate','The organization tests the incident response capability for the information system within every three hundred sixty-five (365) days using NIST SP 800-61, reviews, analyses, and simulations to determine the organization’s incident response effectiveness, and documents its findings.\r\n\r\n','Organizations test incident response capabilities to determine the overall effectiveness of its capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals, due to the incident response activities themselves. In other words: an institution’s resources may be consumed and depleted both directly by an incident, and by its need to allocate resources to address the incident.If the organization routinely responds to incidents, and follows the documented incident response plan to do so, then full-scale simulations (or “table-top exercises”) might not be necessary, especially if the documentation produced from the incident response is sufficient to provide a thorough understanding of the breadth and depth of the organization’s analysis and response to the incident (including lessons learned). However, it is often the case that responses to incidents do not exercise the full incident response plan (for example, an incident might not meet the documented threshold requiring the organization to alert the media about the incident).  If the organization uses a historic response to an incident as the basis for the annual incident response capability test, any parts of the incident response capability that were not exercised in the historic response must be tested (either via actual exercises or through simulation) and documented as part of the capability test.\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nIf the organization routinely responds to incidents, and follows the documented incident response plan to do so, then full-scale simulations (or “table-top exercises”) might not be necessary, especially if the documentation produced from the incident response is sufficient to provide a thorough understanding of the breadth and depth of the organization’s analysis and response to the incident (including lessons learned). However, it is often the case that responses to incidents do not exercise the full incident response plan (for example, an incident might not meet the documented threshold requiring the organization to alert the media about the incident).  If the organization uses a historic response to an incident as the basis for the annual incident response capability test, any parts of the incident response capability that were not exercised in the historic response must be tested (either via actual exercises or through simulation) and documented as part of the capability test.\r\n\r\n',' CP-4, IR-8'),(218,'IR-03(01)','Incident Response','Non-Mandatory: Automated Testing ','P3','','The organization:a. Tests incident response capability using:   1. Checklists;   2. Walk-through, discussion-based exercises, or tabletop exercises;   3. Comprehensive, functional exercises executed in a simulated operational environment; and   4. Automated mechanisms, as applicable.b. Documents results for assessment and potential process improvement.\r\n\r\n','Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities, for example: (i) by providing more complete coverage of incident response issues; (ii) by selecting more realistic test scenarios and test environments; and (iii) by stressing the response capability.\r\n\r\n',' AT-2'),(219,'IR-03(02)','Incident Response','Coordination with Related Plans ','P2','High; Moderate','The organization coordinates incident response testing with organizational elements responsible for related plans.\r\n\r\n','Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.\r\n\r\n',' '),(220,'IR-04','Incident Response','Incident Handling ','P1','High; Moderate; Low','The organization: a. Implements an incident handling capability (i.e., system incident response plan) using the current RMH, Chapter 08: Incident Response; b. Coordinates incident handling activities with contingency planning activities; and c. Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises and implements the resulting changes accordingly.\r\n\r\n','Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources, including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities, including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nA strategic, well-thought-out security incident response program will integrate with privacy incident and breach response where appropriate, with the two processes being mutually supportive.\r\n\r\n',' AU-6, CM-6, CP-2, CP-4, IR-2, IR-3, IR-8, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7, SE-2'),(221,'IR-04(01)','Incident Response','Automated Incident Handling Processes ','P1','High; Moderate','The organization employs automated mechanisms to support the incident handling process.\r\n\r\n','Automated mechanisms supporting incident handling processes include, for example, online incident management systems. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' '),(222,'IR-04(03)','Incident Response','Non-Mandatory: Continuity of Operations ','P3','','The organization identifies incidents and responses to classes of incident to ensure continuation of organizational missions and business functions. Classes of incident are based on attack vector (e.g., attack via external media, the web, improper system use, loss of equipment) and serve to further define specific handling procedures.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization identifies emergencies, vandalism, security incidents, or natural disasters and reasonable and appropriate policies and procedures consistent with federal laws and regulations and organizational requirements to ensure continuation of organizational missions and business functions.\r\n\r\n','Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nHIPAA requires administrative, physical and technical safeguards for the protection and access of PHI during an emergency or other occurrence.Organizations establish policies and procedures for responding to an emergency or other occurrence (for example, fire, vandalism, system failure, and natural disaster) that damages systems that contain PHI including procedures to enable continuation of critical business processes for the protection of PHI and for obtaining necessary PHI during an emergency. Additionally, HIPAA requires organizations to conduct a risk analysis to determine whether and to what extent they establish procedures that allow facility access in support of restoration of lost data under the disaster recovery plan in the event of an emergency.\r\n\r\n',' '),(223,'IR-04(04)','Incident Response','Information Correlation ','P1','High','The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.\r\n\r\n','Sometimes the nature of a threat event, for example, a hostile cyber-attack, is such that it can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations.\r\n\r\n',' '),(224,'IR-04(06)','Incident Response','Non-Mandatory: Insider Threats – Specific Capabilities ','P3','','The organization defines and implements the incident handling capability for insider threats.\r\n\r\n','While many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.\r\n\r\n',' '),(225,'IR-04(07)','Incident Response','Non-Mandatory: Insider Threats – Intra-Organization Coordination','P3','','The organization coordinates incident handling capability for insider threats across the COSA enterprise.\r\n\r\n','This includes coordination with the COSA Counterintelligence & Insider Threat Program Office.\r\n\r\n',' '),(226,'IR-05','Incident Response','Incident Monitoring ','P1','High; Moderate; Low','The organization tracks and documents all physical, information security, and privacy incidents.\r\n\r\n','Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.Tracking and documenting security and privacy incidents enables the organization to respond more effectively and evaluate both individual incidents and trends across incidents over time.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTracking and documenting security and privacy incidents enables the organization to respond more effectively and evaluate both individual incidents and trends across incidents over time.\r\n\r\n',' AU-6, IR-8, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7, SE-2'),(227,'IR-05(01)','Incident Response','Automated Tracking/Data Collection/Analysis ','P1','High','The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.\r\n\r\n','Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers or other electronic databases of incidents.\r\n\r\n',' AU-7, IR-4'),(228,'IR-06','Incident Response','Incident Reporting ','P1','High; Moderate; Low','The organization: a. Requires personnel to report actual or suspected security and privacy incidents to the organizational incident response capability within the timeframe established in the current RMH, Chapter 08: Incident Response; and b. Reports security incident information to authorities (defined in the applicable system security plan [SSP]) and in Implementation Standard 1.\r\n\r\n','The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to US-CERT within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.For more information see the see the RMH, Chapter 08: Incident Response.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIncidents involving personally identifiable information (PII) must be reported to the appropriate incident response center, e.g., US-CERT or Intelligence Community Security Coordination Center.\r\n\r\n',' IR-4, IR-5, IR-8, SE-2'),(229,'IR-06(01)','Incident Response','Automated Reporting ','P1','High; Moderate','The organization employs automated mechanisms to assist in the reporting of security incidents.\r\n\r\n','None.\r\n\r\n',' IR-7'),(230,'IR-07','Incident Response','Incident Response Assistance ','P3','High; Moderate; Low','The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.\r\n\r\n','Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required. The COSA CISO is available for assistance at  HYPERLINK \"mailto:CISO@COSA.gov\" .Security incident response resources and privacy incident and breach response resources must know which resources are available, and how and when to coordinate.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIncident response assistance for incidents involving PII may include use of the forensic, technical, policy, and legal expertise of the organization’s Information Assurance Officers/Managers, Privacy Officers, Legal Counsel, external or internal IT help desks, and the organization’s Computer Emergency Response Team (CERT), in investigating and remediating incidents.\r\n\r\n',' AT-2, IR-4, IR-6, IR-8, SA-9, SE-2'),(231,'IR-07(01)','Incident Response','Automation Support for Availability of Information/Support ','P2','High; Moderate','The organization employs automated mechanisms to increase the availability of incident response-related information and support.\r\n\r\n','Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to an incident response database capability to query interactively when seeking assistance or, conversely, the assistance capability may proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.\r\n\r\n',' '),(232,'IR-07(02)','Incident Response','Non-Mandatory: Coordination with External Providers','P3','','The organization:a. Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; andb. Identifies organizational incident response team members to the external providers.\r\n\r\n','External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.\r\n\r\n',' '),(233,'IR-08','Incident Response','Incident Response Plan ','P1','High; Moderate; Low','The organization: a. Develops an incident response plan that:    1. Provides the organization with a roadmap for implementing its incident response capability;    2. Describes the structure and organization of the incident response capability;    3. Provides a high-level approach for how the incident response capability fits into the overall organization;    4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;    5. Defines reportable incidents;    6. Provides metrics for measuring the incident response capability within the organization;    7. Defines the resources and management support needed to effectively maintain and mature an incident response capability; and    8. Is reviewed and approved by the applicable Incident Response Team Leader; b. Distributes copies of the incident response plan to:     - COSA Chief Information Security Officer;    - COSA Chief Information Officer;    - Information System Security Officer;    - COSA Office of the Inspector General/Computer Crimes Unit;    - All personnel within the organization Incident Response Team;    - All personnel within the PII Breach Response Team; and    - All personnel within the organization Operations Centers. c. Reviews the incident response plan within every three hundred sixty-five (365) days; d. Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing; e. Communicates incident response plan changes to the organizational elements listed in b. above; and f. Protects the incident response plan from unauthorized disclosure and modification.\r\n\r\n','It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIn developing an incident response plan, ensure it incorporates guidance from the Privacy Office for the handling of incidents involving personally identifiable information (PII).\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nIn developing an incident response plan, ensure it incorporates guidance from the privacy office for the handling of incidents involving PHI.\r\n\r\n',' MP-2, MP-4, MP-5, SE-2'),(234,'IR-09','Incident Response','Non-Mandatory: Information Spillage Response ','P3','','The organization responds to information spills by:a. Identifying the specific information involved in the information system contamination;b. Alerting incident response personnel (as defined in the applicable security plan) and the incident response plan [See IR-6]) of the information spill using a method of communication not associated with the spill;c. Isolating the contaminated information system or system component;d. Eradicating the information from the contaminated information system or component;e. Identifying other information systems or system components that may have been subsequently contaminated; andf. Performing required response actions as in the system incident response plan.\r\n\r\n','Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.\r\n\r\n',' '),(235,'IR-09(01)','Incident Response','Non-Mandatory: Responsible Personnel ','P3','','The organization assigns responsibility for responding to information spills to defined personnel or roles.\r\n\r\n','None.\r\n\r\n',' '),(236,'IR-09(02)','Incident Response','Non-Mandatory: Training ','P3','','The organization provides information spillage response training no less often than annually.\r\n\r\n','None.\r\n\r\n',' '),(237,'IR-09(03)','Incident Response','Non-Mandatory: Post-Spill Operations ','P3','','The organization implements processes and procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.\r\n\r\n','Correction actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.\r\n\r\n',' '),(238,'IR-09(04)','Incident Response','Non-Mandatory: Exposure to Unauthorized Personnel ','P3','','The organization employs COSA rules of behavior and defined security and privacy safeguards to address the risk of personnel exposed to information not within assigned access authorizations.\r\n\r\n','Security safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.\r\n\r\n',' '),(239,'IR-10','Incident Response','Non-Mandatory: Integrated Information Security Analysis Team','P3','','The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.\r\n\r\n','Having an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe integrated information security analysis team will support the organization’s personally identifiable information (PII) incident response team (as specified in OMB M-17-12) in all aspects of response to a security incident involving PII.\r\n\r\n',' SE-2'),(240,'MA-01','Maintenance','System Maintenance Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. A system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls. b. Reviews and updates (as necessary) the current:    1. System maintenance policy within every three (3) years; and    2. System maintenance procedures within every three (3) years.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSystem maintenance policy and procedures must ensure that contractors having access to records (i.e., files or data) maintained in a system of records are contractually bound to be covered by the Privacy Act.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPrivacy considerations should be included in system maintenance policy and procedures especially when the system contains information subject to the Privacy Act and/or HIPAA.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nProcedures to facilitate the implementation of the system maintenance policy should include access control validation and accountability procedures.\r\n\r\n',' PM-9'),(241,'MA-02','Maintenance','Controlled Maintenance ','P2','High; Moderate; Low','The organization: a. Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements; b. Approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on-site or removed to another location; c. Requires that the applicable Business Owner (or an official designated in the applicable security plan) explicitly approves the removal of the information system or system components from organizational facilities for off-site maintenance or repairs; d. Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs; e. Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and f. Includes defined maintenance-related information (defined in the applicable security plan) in organizational maintenance records.\r\n\r\n','This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example:  (i) Date and time of maintenance;  (ii) Name of individuals or group performing the maintenance;  (iii) Name of escort, if necessary;  (iv) Description of the maintenance performed; and  (v) Information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nHIPAA requires organizations to apply reasonable and appropriate safeguards for the protection of PHI, including implementing policies and procedures to document repairs and modifications to the facility which are related to security.Under the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' CM-3, CM-4, MA-4, MP-6, PE-16, SA-12, SI-2'),(242,'MA-02(02)','Maintenance','Automated Maintenance Activities ','P2','High','The organization: a. Employs automated mechanisms to schedule, conduct, and document maintenance and repairs; and b. Produces up-to date, accurate, and complete records of all maintenance and repair actions requested, scheduled, in process, and completed.\r\n\r\n','None.\r\n\r\n',' CA-7, MA-3'),(243,'MA-03','Maintenance','Maintenance Tools ','P3','High; Moderate','The organization approves, controls, and monitors information system maintenance tools.\r\n\r\n','This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig,” or the hardware and software implementing the monitoring port of an Ethernet switch.\r\n\r\n',' MA-2, MA-5, MP-6'),(244,'MA-03(01)','Maintenance','Inspect Tools ','P3','High; Moderate','The organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.\r\n\r\n','If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.\r\n\r\n',' SI-7'),(245,'MA-03(02)','Maintenance','Inspect Media ','P3','High; Moderate','The organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.\r\n\r\n','If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.\r\n\r\n',' SI-3'),(246,'MA-03(03)','Maintenance','Prevent Unauthorized Removal ','P3','High','The organization prevents the unauthorized removal of maintenance equipment containing organizational information by: a. Verifying that there is no organizational information contained on the equipment; b. Sanitizing or destroying the equipment; c. Retaining the equipment within the facility; or d. Obtaining an exemption, in writing, from the COSA CIO or his/her designated representative explicitly authorizing removal of the equipment from the facility.\r\n\r\n','Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.\r\n\r\n',' '),(247,'MA-04','Maintenance','Nonlocal Maintenance ','P2','High; Moderate; Low','The organization monitors and controls nonlocal maintenance and diagnostic activities; and prohibits nonlocal system maintenance unless explicitly authorized, in writing, by the CIO or his/her designated representative. If nonlocal maintenance and diagnostic actives are authorized, the organization: a. Allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system; b. Employs strong identification and authentication techniques in the establishment of nonlocal maintenance and diagnostic sessions; c. Maintains records for nonlocal maintenance and diagnostic activities; and d. Terminates all sessions and network connections when nonlocal maintenance is completed.\r\n\r\n','Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.\r\n\r\n',' AC-2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-4, IA-5, IA-8, MA-2, MA-5, MP-6, PL-2, SC-7, SC-10, SC-17'),(248,'MA-04(01)','Maintenance','Auditing and Review ','P2','High; Moderate','The organization: a. Audits nonlocal maintenance and diagnostic sessions using available audit events; and b. Reviews the records of the maintenance and diagnostic sessions.\r\n\r\n','None.\r\n\r\n',' AU-2, AU-6, AU-12'),(249,'MA-04(02)','Maintenance','Document Nonlocal Maintenance ','P2','High; Moderate','The organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.\r\n\r\n','None.\r\n\r\n',' '),(250,'MA-04(03)','Maintenance','Comparable Security/Sanitization ','P2','High','The organization: a. Requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or b. Removes the component to be serviced from the information system and prior to nonlocal maintenance or diagnostic services, sanitizes the component (about organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (regarding potentially malicious software) before reconnecting the component to the information system.\r\n\r\n','Comparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.\r\n\r\n',' MA-3, SA-12, SI-3, SI-7'),(251,'MA-04(06)','Maintenance','Non-Mandatory: Cryptographic Protection ','P3','','The information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.\r\n\r\n','Many forms of maintenance require elevated privileges, which could provide access to sensitive information. When non-local maintenance is performed, it is vitally important to protect information by ensuring communications are protected. \r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nEncrypting the communications channel when maintenance is performed remotely protects user credentials, sensitive information such as personally identifiable information (PII), and other data as it travels “across the wire.”\r\n\r\n',' SC-8, SC-13'),(252,'MA-05','Maintenance','Maintenance Personnel ','P2','High; Moderate; Low','The organization: a. Establishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel; b. Ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and c. Designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.\r\n\r\n','This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems, while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, system integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIf maintenance personnel are contractors, then the organizations personnel responsible for contracting (such as the contracting officer [KO or CO], contracting officer’s representative [COR], or contracting officer’s technical representative [COTR]) or the program manager must ensure that contractors having access to records (i.e., files or data) from a system of records are contractually bound to be covered by the Privacy Act.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' AC-2, IA-8, MP-2, PE-2, PE-3, PE-4, RA-3, SA-4, AR-3'),(253,'MA-05(01)','Maintenance','Individuals Without Appropriate Access ','P2','High','The organization: a. Implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:    1. Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;    2. Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured. b. Develops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.\r\n\r\n','This control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.\r\n\r\n',' MP-6, PL-2'),(254,'MA-06','Maintenance','Timely Maintenance ','P2','High; Moderate','The organization obtains maintenance support and/or spare parts for defined key information system components (defined in the applicable security plan) within the applicable RTO specified in the contingency plan.\r\n\r\n','Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.\r\n\r\n',' 8, CP-2, CP-7, SA-14, SA-15'),(255,'MP-01','Media Protection','Media Protection Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. A media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the media protection policy and associated media protection controls. b. Reviews and updates (as necessary) the current:    1. Media protection policy within every three (3) years; and    2. Media protection procedures within every three (3) years.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\n“Applicable personnel,” as referred to in MP-1(a), includes employees and contractors with potential access to personally identifiable information (PII).\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\n“Applicable personnel,” as referred to in MP-1(a), includes employees and contractors with potential access to protected health information (PHI).\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or, conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' PM-9'),(256,'MP-02','Media Protection','Media Access ','P1','High; Moderate; Low','The organization restricts access to sensitive digital and non-digital media pursuant to Appendix I of the HHS Information System Security and Privacy Policy (IS2P) and in compliance with the latest revision of NIST SP 800-88, Guidelines for Media Sanitization, to defined personnel or roles (defined in the applicable security plan) by disabling:   - disabling CD/DVD writers and allowing access to using CD/DVD viewing and downloading capabilities only to persons specified or in defined roles; and   - disabling USB ports and allowing access to using USB device capabilities only to persons specified or in defined roles.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSensitive digital and non-digital media includes media containing personally identifiable information (PII).Defined personnel or roles must be authorized individuals with a valid need to know.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nSensitive digital and non-digital media includes media containing protected health information (PHI).\r\n\r\n','Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nRestricting access to digital and non-digital media, including mobile devices with storage capabilities, protects sensitive information, such as PII, from unauthorized use and disclosure. A risk assessment should be conducted to determine what sensitive information if any, can be stored on certain media types and who is authorized to do so.\r\n\r\n',' AC-2, AC-3, IA-2, MP-4, PE-2, PE-3, PL-2'),(257,'MP-03','Media Protection','Media Marking ','P2','High; Moderate','The organization: a. Marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and b. Exempts specific types of media or hardware components, as specified, in writing, by the COSA CIO or his/her designated representative, from marking if the media remains within a secure environment.\r\n\r\n','The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes regarding internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nMedia containing personally identifiable information (PII), or the container for the media if labeling the media is not practicable, must be marked appropriately.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nMedia containing PHI, or the container for the media if labeling the media is not practicable, must be marked appropriately.\r\n\r\n',' AC-16, PL-2, RA-3'),(258,'MP-04','Media Protection','Media Storage ','P1','High; Moderate','The organization: a. Physically controls and securely stores digital and non-digital media defined within the latest revision of NIST SP 800-88, Guidelines for Media Sanitization, and HHS IS2P Appendix I, within controlled areas; and b. Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nDigital and non-digital media includes removable media that contains personally identifiable information (PII). This media must be stored a securable area or in a locked container.\r\n\r\n','Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to a media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas or spaces for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection. Contact your CRA or the CCIC for the list of compliant formats.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nControlling the storage of media containing sensitive information such as PII protects the media from theft and promotes accountability.\r\n\r\n',' CP-6, CP-9, MP-2, MP-7, PE-3'),(259,'MP-05','Media Protection','Media Transport ','P1','High; Moderate','Commensurate with the FIPS 199 security categorizations for confidentiality and integrity of the data, the organization: a. Protects and controls digital and non-digital media defined within the latest revision of NIST SP 800-88, Guidelines for Media Sanitization, and HHS Information Systems Security and Privacy Policy (IS2P) Appendix I, containing sensitive information during transport outside of controlled areas using cryptography and tamper evident packaging, and:    1. if hand carried, using a securable container (e.g., locked briefcase) via authorized personnel, or    2. if shipped, trackable with receipt by commercial carrier. b. Maintains accountability for information system media during transport outside of controlled areas; c. Documents activities associated with the transport of information system media; and d. Restricts the activities associated with the transport of information system media to authorized personnel.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization protects and controls digital media that contains personally identifiable information (PII) during transport outside of controlled areas using FIPS-validated encryption.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization protects and controls digital media that contains protected health information (PHI) during transport outside of controlled areas using a FIPS 140-2 validated cryptographic module operating in the FIPS-approved mode of operation.\r\n\r\n','Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems.Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nProtecting and controlling media containing sensitive information, such as PII, commensurate with the sensitivity of the information contained on the media, during transport outside of controlled areas, promotes accountability and limits situations that make the media vulnerable to unauthorized use and disclosure through loss, theft, or other mishandling.\r\n\r\n',' AC-19, CP-9, MP-3, MP-4, RA-3, SC-8, SC-13, SC-28'),(260,'MP-05(03)','Media Protection','Non-Mandatory: Custodians ','P3','','The organization employs an identified custodian during transport of information system media outside of controlled areas.\r\n\r\n','Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another if an unambiguous custodian is always identified.\r\n\r\n',' '),(261,'MP-05(04)','Media Protection','Cryptographic Protection ','P1','High; Moderate','The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.\r\n\r\n','This control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nEncrypting portable media and mobile devices protects confidentiality and integrity of sensitive information, such as personally identifiable information (PII), stored on those devices.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization. However, using cryptographic protection allows the organization to utilize the “Safe Harbor” provision under the Breach Notification Rule.  If PHI is encrypted pursuant to the Guidance Specifying the Technologies and Methodologies that Render Protected Health Information Unusable, Unreadable, or Indecipherable to Unauthorized Individuals (45 C.F.R.  Part 164 Subpart D), then no breach notification is required following an impermissible disclosure of the information. Therefore, organizations should use cryptographic protections for PHI stored on electronic media if they wish to take advantage of the Safe Harbor provision.\r\n\r\n',' MP-2, CP-9'),(262,'MP-06','Media Protection','Media Sanitization ','P1','High; Moderate; Low','The organization, in accordance with the latest revision of NIST SP 800-88, Guidelines for Media Sanitization, and HHS IS2P Appendix I: a. Sanitizes both digital and non-digital information system media prior to disposal, release out of organizational control, or release for reuse using defined sanitization techniques and procedures (defined in the applicable security plan) in accordance with applicable federal and organizational standards and policies; and b. Employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization sanitizes digital media that contains personally identifiable information (PII) prior to disposal, release out of organizational control, or release for reuse using FIPS-validated media sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization sanitizes digital media that contains protected health information (PHI) prior to disposal, release out of organizational control, or release for reuse using FIPS-validated media sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies.\r\n\r\nSystems defined as CSPs:\r\n\r\nFor CSPs, the hypervisor enforces sanitization of the instance (container) image file space upon release:   - Sanitization of released space is compliant with NIST SP 800-88, as amended, guidance.\r\n\r\n','This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nProperly sanitizing media that contains sensitive information, such as PII, prior to disposal or release protects the information from unauthorized use and disclosure.\r\n\r\n',' MA-2, MA-4, RA-3, SC-4, DM-2'),(263,'MP-06(01)','Media Protection','Review/Approve/Track/Document/Verify ','P1','High','The organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.\r\n\r\n','Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTracking, documenting, and verifying media sanitization and disposal actions for media that contains sensitive information, such as personally identifiable information (PII), reduces the risk of unauthorized disclosure of sensitive information and increases accountability.\r\n\r\n',' SI-12, DM-2'),(264,'MP-06(02)','Media Protection','Equipment Testing ','P1','High','The organization tests sanitization equipment and procedures within every three hundred sixty-five (365) days to verify that the intended sanitization is being achieved.\r\n\r\n','Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).\r\n\r\n',' '),(265,'MP-06(03)','Media Protection','Nondestructive Techniques ','P1','High','The organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: a. Prior to initial use after purchase; b. When obtained from an unknown source; c. When the organization loses a positive chain of custody; and d. When device was connected to a lower assurance network/system based on FIPS 199 security categorization.\r\n\r\n','This control enhancement applies to digital media containing Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning portable storage devices for malicious code is recommended, sanitization provides additional assurance that the devices are free of malicious code, including code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.\r\n\r\n',' SI-3'),(266,'MP-06(08)','Media Protection','Non-Mandatory: Remote Purging/Wiping of Information ','P3','','The organization provides the capability to purge/wipe information from information systems, system components, and devices either remotely or as defined in the RMH standards and procedures.\r\n\r\n','This control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nOrganizations must consider the use of this control for moderate and high personally identifiable information (PII) confidentiality impact level information on devices such as mobile devices like an iPad or other smart device. If your organization permits use of personal smart devices (for example, Bring Your Own Device [BYOD]), the organization must evaluate methods to ensure this control is enforced or that compensating controls are in place.\r\n\r\n',' DM-2, SE-2'),(267,'MP-07','Media Protection','Media Use ','P1','High; Moderate; Low','The organization prohibits the use of personally owned media on organizational information systems or system components using defined security safeguards in accordance with COSA organizational policy and HHS IS2P Appendix I.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization restricts the use of portable storage and mobile devices on information systems and networks containing personally identifiable information (PII), without using device ownership, media sanitization and encryption controls.\r\n\r\n','Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control applies to devices containing PII, particularly portable storage and mobile devices.\r\n\r\n',' AC-19, PL-4, SE-2'),(268,'MP-07(01)','Media Protection','Prohibit Use Without Owner ','P1','High; Moderate','The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.\r\n\r\n','Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe ability to identify the owner of removable media that stores sensitive information, such as personally identifiable information (PII), assigns accountability and responsibility managing the media and responding to a privacy breach.\r\n\r\n',' PL-4'),(269,'MP-08','Media Protection','Non-Mandatory: Media Downgrading','P3','','The organization:a. Establishes an information system media downgrading process that includes employing downgrading mechanisms compliant with applicable federal and organizational standards, policies, and guidance for strength and integrity;b. Ensures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;c. Identifies information system media requiring downgrading; andd. Downgrades the identified information system media using the established process.\r\n\r\n','This control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPrior to downgrading any media containing sensitive information, such as personally identifiable information (PII) or protected health information (PHI), that media must be reviewed to ensure that all sensitive information has been appropriately redacted or de-identified and any file containing sensitive information on that media is appropriately sanitized so that the information is not recoverable or re-identifiable. \r\n\r\n',' '),(270,'MP-08(03)','Media Protection','Non-Mandatory: Controlled Unclassified Information ','P3','','The organization downgrades information system media containing organizationally-defined Controlled Unclassified Information (CUI) prior to public release in accordance with applicable federal and organizational standards and policies.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization downgrades information system media containing personally identifiable information (PII) prior to public release in accordance with applicable federal and organizational standards and policies.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization downgrades information system media containing protected health information (PHI) prior to public release in accordance with applicable federal and organizational standards and policies.\r\n\r\n','Prior to public release of any media containing sensitive information, such as PII or protected health information (PHI), that media must be reviewed to ensure that all sensitive information has been appropriately redacted or de-identified and any file containing sensitive information on that media is appropriately sanitized so that the information is not recoverable or re-identifiable.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nDowngrading of media containing PHI must implement HIPAA de-identification procedures to ensure PHI may not be re-identified.\r\n\r\n',' '),(271,'MP-COSA-01','Media Protection','Media Related Records ','P2','High; Moderate','Inventory and disposition records for information system media must be maintained to ensure control and accountability of sensitive information. The media related records must contain sufficient information to reconstruct the data in the event of a breach.\r\n\r\n','This control addresses management of media used in the operation and maintenance of an information system that processes, stores, or transmits sensitive information such as PII or PHI. Managing media includes both maintaining an accurate inventory and monitoring the media while in use. Finally, management requires creation of disposition records when the media is no longer associated with the system. This ensures control and accountability of the sensitive information stored on the media.\r\n\r\n',' '),(272,'PE-01','Physical and Environmental Protection','Physical and Environmental Protection Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:  1. A physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and  2. Procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls. b. Reviews and updates (as necessary) the current:  1. Physical and environmental protection policy within every three (3) years; and  2. Physical and environmental protection procedures within every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or, conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nSensitivity of PHI may impact the necessary physical and environmental controls. Physical controls are important for protecting PHI against unauthorized access, use, and disclosure. Environmental controls can be critical when PHI has high availability requirements (e.g., core mission capabilities of an organization rely on consistent and frequent access to PHI).\r\n\r\n',' PM-9'),(273,'PE-02','Physical and Environmental Protection','Physical Access Authorizations ','P1','High; Moderate; Low','The organization:a. Develops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;b. Issues authorization credentials for facility access;c. Reviews the access list detailing authorized facility access by individuals every (90 High, 180 Moderate, 365 Low) days; andd. Removes individuals from the facility access list when access is no longer required.\r\n\r\n','This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization. Maintaining a current list of personnel that are authorized to access facilities where sensitive information is located protects the information from unauthorized access. For the purposes of this control, “sensitive information” includes personally identifiable information (PII) and protected health information.\r\n\r\n',' PE-3, PE-4, PS-3'),(274,'PE-02(01)','Physical and Environmental Protection','Non-Mandatory: Access by Position/Role','P3','','The organization authorizes physical access to the facility where the information system resides based on position or role.\r\n\r\n','Implementing role-based access controls for physical access provides a further level of granularity in governing who can access facilities, and even certain parts of facilities, that store and process sensitive information.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe authorization of physical access to the facility should include considerations of whether the person needs access to PHI and whether such access is permitted under the HIPAA Security Rule.\r\n\r\n',' AC-2, AC-3, AC-6'),(275,'PE-03','Physical and Environmental Protection','Physical Access Control ','P1','High; Moderate; Low','The organization:a. Enforces physical access authorizations at defined entry/exit points to the facility (defined in the applicable security plan) where the information system resides by; 1. Verifying individual access authorizations before granting access to the facility; and 2. Controlling ingress/egress to the facility using guards and/or defined physical access control systems/devices (defined in the applicable security plan).b. Maintains physical access audit logs for defined entry/exit points (defined in the applicable security plan);c. Provides defined security safeguards (defined in the applicable security plan) to control access to areas within the facility officially designated as publicly accessible;d. Escorts visitors and monitors visitor activity in defined circumstances requiring visitor escorts and monitoring (defined in the applicable security plan);e. Secures keys, combinations, and other physical access devices;f. Inventories defined physical access devices (defined in the applicable security plan) no less often than every (90 High, 90 Moderate, or 180 Low) days; andg. Changes combinations and keys for defined high-risk entry/exit points (defined in the applicable security plan) within every 365 days, and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.\r\n\r\n','This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed, including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management (FICAM) Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be in areas designated as publicly accessible with organizations safeguarding access to such devices.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nEmploying physical access controls that limit access to a facility that are commensurate with the level of sensitivity of the information processed in a facility protects the information from unauthorized access, use, and disclosure.\r\n\r\n',' AU-2, AU-6, MP-2, MP-4, PE-2, PE-4, PE-5, PS-3, RA-3'),(276,'PE-03(01)','Physical and Environmental Protection','Information System Access ','P1','High','The organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at defined physical spaces (defined in the applicable security plan) containing a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers, etc.).\r\n\r\n','This control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).\r\n\r\n',' PS-2'),(277,'PE-04','Physical and Environmental Protection','Access Control for Transmission Medium ','P1','High; Moderate','The organization controls physical access to telephone closets and information system distribution and transmission lines within organizational facilities using defined security safeguards (defined in the applicable security plan).\r\n\r\n','Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in-transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nProtecting physical access to transmission medium protects the confidentiality of PHI by protecting it from eavesdropping, the integrity of PHI by protecting it from modification (when unencrypted), and protects the availability of PHI by helping to prevent accidental or intentional damage or disruption to transmission lines.Under the HIPAA Security Rule, this is an addressable implementation specification.\r\n\r\n',' MP-2, MP-4, PE-2, PE-3, PE-5, SC-7, SC-8'),(278,'PE-05','Physical and Environmental Protection','Access Control for Output Devices ','P2','High; Moderate','The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.\r\n\r\n','Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe access controls applied to output devices should be commensurate with the personally identifiable information (PII) confidentiality impact level. For example, human resource information is only sent to printers located in secured locations such as a locked suite.\r\n\r\n',' PE-2, PE-3, PE-4, PE-18'),(279,'PE-06','Physical and Environmental Protection','Monitoring Physical Access ','P1','High; Moderate; Low','The organization: a. Monitors physical access to the facility where the information system resides to detect and respond to physical security incidents; b. Reviews physical access logs weekly and upon occurrence of security incidents or indications of potential events involving physical security; and c. Coordinates results of reviews and investigations with the organization’s incident response capability.\r\n\r\n','Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nMonitoring physical security incidents could identify PHI incidents or breaches.\r\n\r\n',' CA-7, IR-4, IR-8'),(280,'PE-06(01)','Physical and Environmental Protection','Intrusion Alarms/Surveillance Equipment ','P1','High; Moderate','The organization monitors physical intrusion alarms and surveillance equipment.\r\n\r\n','None.\r\n\r\n',' '),(281,'PE-06(04)','Physical and Environmental Protection','Monitoring Physical Access to Information Systems ','P1','High','The organization monitors physical access to the information system, in addition to the physical access monitoring of the facility, at defined physical spaces (defined in the applicable security plan) containing a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers, etc.).\r\n\r\n','This control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).\r\n\r\n',' PS-2, PS-3'),(282,'PE-08','Physical and Environmental Protection','Visitor Access Records ','P3','High; Moderate; Low','The organization: a. Maintains visitor access records to the facility where the information system resides for two (2) years; and b. Reviews visitor access records no less often than monthly.\r\n\r\n','Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas. See NARA Schedule 18 for additional detail on this requirement.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nVisitor access records provide a history of who had access to facilities in the event of a privacy incident or breach.Records should be retained in accordance with the organization’s records retention schedule\r\n\r\n',' '),(283,'PE-08(01)','Physical and Environmental Protection','Automated Records Maintenance/Review ','P3','High','The organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.\r\n\r\n','None.\r\n\r\n',' '),(284,'PE-09','Physical and Environmental Protection','Power Equipment and Cabling ','P1','High; Moderate','The organization protects power equipment and power cabling for the information system from damage and destruction.\r\n\r\n','Organizations determine the types of protection necessary for power equipment and cabling employed at different locations, both internal and external, to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.\r\n\r\n',' PE-4'),(285,'PE-10','Physical and Environmental Protection','Emergency Shutoff ','P1','High; Moderate','The organization: a. Provides the capability of shutting off power to the information system or individual system components in emergency situations; b. Places emergency shutoff switches or devices in a location that does not require personnel to approach the equipment to facilitate safe and easy access for personnel; and c. Protects emergency power shutoff capability from unauthorized activation.\r\n\r\n','This control applies primarily to facilities containing concentrations of information system resources, including, for example, data centers, server rooms, and mainframe computer rooms.\r\n\r\n',' PE-15'),(286,'PE-11','Physical and Environmental Protection','Emergency Power ','P1','High; Moderate','The organization provides a short-term uninterruptible power supply to facilitate an orderly shutdown of the information system and/or transition of the information system to a long-term alternate power source in the event of a primary power source loss.\r\n\r\n','None.\r\n\r\n',' AT-3, CP-2, CP-7'),(287,'PE-11(01)','Physical and Environmental Protection','Long-Term Alternate Power Supply - Minimal Operational Capability ','P1','High','The organization provides a long-term alternate power supply for the information system that can maintain minimally required operational capability in the event of an extended loss of the primary power source.\r\n\r\n','This control enhancement can be satisfied, for example, using a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.\r\n\r\n',' '),(288,'PE-12','Physical and Environmental Protection','Emergency Lighting ','P1','High; Moderate; Low','The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and covers emergency exits and evacuation routes within the facility.\r\n\r\n','This control applies primarily to facilities containing concentrations of information system resources, including, for example, data centers, server rooms, and mainframe computer rooms.\r\n\r\n',' CP-2, CP-7'),(289,'PE-13','Physical and Environmental Protection','Fire Protection ','P1','High; Moderate; Low','The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.\r\n\r\n','This control applies primarily to facilities containing concentrations of information system resources, including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.\r\n\r\n',' '),(290,'PE-13(01)','Physical and Environmental Protection','Detection Devices/Systems ','P1','High','The organization employs fire detection devices/systems for the information system that activate automatically and notify defined personnel or roles (defined in the applicable security plan) and defined emergency responders (defined in the applicable security or safety plan) in the event of a fire.\r\n\r\n','Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.\r\n\r\n',' '),(291,'PE-13(02)','Physical and Environmental Protection','Suppression Devices/Systems ','P1','High','The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to defined personnel (or roles) and defined emergency responders (defined in the applicable security or safety plan).\r\n\r\n','Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.\r\n\r\n',' '),(292,'PE-13(03)','Physical and Environmental Protection','Automatic Fire Suppression ','P1','High; Moderate','The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.\r\n\r\n','None.\r\n\r\n',' '),(293,'PE-14','Physical and Environmental Protection','Temperature and Humidity Controls ','P1','High; Moderate; Low','The organization: a. Maintains temperature and humidity levels within the facility where the information system resides within acceptable vendor-specified levels; b. Monitors temperature and humidity levels within the defined frequency (defined in the applicable security plan); andc. Tests the equipment on a schedule that complies with manufacturer recommendations and local, state, and federal requirements, no less often than three (3) years.\r\n\r\n','This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.\r\n\r\n',' AT-3'),(294,'PE-15','Physical and Environmental Protection','Water Damage Protection ','P1','High; Moderate; Low','The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.\r\n\r\n','This control applies primarily to facilities containing concentrations of information system resources, including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern without affecting entire organizations.\r\n\r\n',' AT-3'),(295,'PE-15(01)','Physical and Environmental Protection','Automation Support ','P1','High','The organization employs automated mechanisms to detect the presence of water near the information system and alerts defined personnel or roles (defined in the applicable security plan).\r\n\r\n','Automated mechanisms can include, for example, water detection sensors, alarms, and notification systems.\r\n\r\n',' '),(296,'PE-16','Physical and Environmental Protection','Delivery and Removal ','P2','High; Moderate; Low','The organization authorizes, monitors, and controls the flow of all information system-related components entering and exiting the facility and maintains records of those items.\r\n\r\n','Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.\r\n\r\n',' CM-3, MA-2, MA-3, MP-5, SA-12'),(297,'PE-17','Physical and Environmental Protection','Alternate Work Site ','P2','High; Moderate','The organization: a. Employs appropriate security controls at alternate work sites to include, but not to be limited to, requiring the use of laptop cable locks, recording serial numbers and other identification information about laptops, and disconnecting modems at alternate work sites; b. Assesses, as feasible, the effectiveness of security controls at alternate work sites; and c. Provides a means for employees to communicate with information security personnel in case of security incidents or problems.\r\n\r\n','Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites, depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen personally identifiable information (PII) collected, stored, and processed at an alternate worksite, the information is subject to the same laws, regulations, and policies as PII handled at “non-alternate facilities.”\r\n\r\n',' AC-17, CP-7'),(298,'PE-18','Physical and Environmental Protection','Location of Information System Components ','P3','High','The organization positions information system components within the facility to minimize potential damage from physical and environmental hazards, and to minimize the opportunity for unauthorized access.\r\n\r\n','Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be near information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., using wireless sniffers or microphones).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control is required to limit intentional and unintentional disclosures of personally identifiable information (PII). One example of positioning information system components to minimize the opportunity for unauthorized access would be ensuring that monitors are placed in such a way as to prevent unauthorized viewing. An example of positioning information system components to minimize potential damage from physical land environmental hazards would be to place servers and disk arrays in locations that are secured.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThis control is required to limit intentional and unintentional disclosures of PHI in violation of the HIPAA Privacy and Security Rules.\r\n\r\n',' CP-2, PE-19, RA-3'),(299,'PE-18(01)','Physical and Environmental Protection','Non-Mandatory: Facility Site ','P3','','The organization plans the location or site of the facility where the information system resides considering physical and environmental hazards associated with existing facilities and considers the physical and environmental hazards in its risk mitigation strategy.\r\n\r\n','None.\r\n\r\n',' PM-8'),(300,'PL-01','Planning','Security Planning Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:  1. A security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and  2. Procedures to facilitate the implementation of the security planning policy and associated security planning controls. b. Reviews and updates (as necessary) the current:  1. Security planning policy within every three (3) years; and  2. Security planning procedures within every three (3) years.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization retains the policies and procedures in written form (which may be electronic) for 6 years from the date of its creation or the date when it was last in effect, whichever is later. The organization makes the documentation available to those persons responsible for implementing the procedures to which the document pertains.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or, conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nSecurity planning addresses the requirements for confidentiality, availability, and integrity for the organization and individual information system(s).\r\n\r\n',' PM-9'),(301,'PL-02','Planning','System Security Plan ','P1','High; Moderate; Low','The organization:a. Develops a security plan for the information system that is consistent with the RMH Procedures; and  1. Is consistent with the organization’s enterprise architecture;  2. Explicitly defines the authorization boundary for the system;  3. Describes the operational context of the information system in terms of missions and business processes;  4. Provides the security categorization of the information system including supporting rationale;  5. Describes the operational environment for the information system and relationships with or connections to other information systems;  6. Provides an overview of the security requirements for the system;  7. Identifies any relevant overlays, if applicable;  8. Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplementation decisions; and  9. Is reviewed and approved by the authorizing official or designated representative prior to plan implementation.b. Distributes copies of the security plan and communicates subsequent changes to the plan to stakeholders;c. Reviews the security plan for the information system within every three hundred sixty-five (365) days; andd. Updates the plan, minimally every three (3) years, to address current conditions or whenever: - There are significant changes to the information system/environment of operation that affect security;  - Problems are identified during plan implementation or security control assessments; - When the data sensitivity level increases; - After a serious security violation caused by changes in the threat environment; or - Before the previous security authorization expires.e. Protects the security plan from unauthorized disclosure and modification.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe system security plan (SSP) must provide the security category and the personally identifiable information (PII) confidentiality impact level of the system (as described in NIST SP 800-122), describe relationships with, and data flows of, PII to other systems; and provide an overview of security and privacy requirements for the system. The SSP must define the boundary within the system where PII is stored, processed, and/or maintained. The person responsible for meeting information system privacy requirements must provide input to the SSP.\r\n\r\nSystems defined as CSPs:\r\n\r\nThe associated security plan must address gaps between the FedRAMP baseline and the COSA/COSA Minimum Security Requirements (COSAR) required baseline.\r\n\r\n','Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in NIST 800-53 Appendix D and Committee on National Security Systems (CNSS) Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). NIST 800-53 Appendix I provides guidance on developing overlays.Security plans need not be single documents; the plans can be a collection of various documents, including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference sufficient information to define what needs to be accomplished by those plans.All COSA information systems and major applications are covered by a security plan, which is compliant with current COSA procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe SSP is necessary for the information system to be authorized. As the security controls section of a privacy impact assessment or other privacy documentation may not provide sufficient details to determine which controls have been implemented, the SSP and plan of action and milestones (POA&M, see PM-4) are the best locations to address privacy related security controls.\r\n\r\n',' AC-2, AC-6, AC-14, AC-17, AC-20, CA-2, CA-3, CA-7, CM-9, CP-2, IR-8, MA-4, MA-5, MP-2, MP-4, MP-5, PL-7, PM-1, PM-4, PM-7, PM-8, PM-9, PM-11, SA-5, SA-17'),(302,'PL-02(03)','Planning','Plan/Coordinate with Other Organizational Entities ','P1','High; Moderate','The organization plans and coordinates security-related activities affecting the information system with affected internal or external stakeholders, groups, or organizations before conducting such activities to reduce the impact on other organizational entities.\r\n\r\n','These stakeholders, groups, or organizations could include those involved with security-related activities, or providing services or support (such as [TIC] or those involved in COOP planning).Security-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Planning and coordination includes emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.\r\n\r\n',' CP-4, IR-4'),(303,'PL-04','Planning','Rules of Behavior ','P2','High; Moderate; Low','The organization:a. Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior regarding information and information system usage, including:  i. The HHS RoB and Policy for Personal Use of Information Technology Resources; and   ii. Any applicable COSA RoB; and   iii. Any applicable system-specific RoB.b. Receives an acknowledgment (paper or electronic) from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system; c. Reviews and updates the rules of behavior every three (3) years d. Requires individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge when the rules of behavior are revised/updated and at least every 365 days;e. Informs employees and contractors that the use of COSA information resources for anything other than authorized purposes set forth in the HHS RoB and Policy for Personal Use of Information Technology Resources is a violation of either or both of those policies, and is grounds for disciplinary action, monetary fines, and/or criminal charges that could result in imprisonment; andf. Informs employees and contractors that the use of COSA information resources is subject to the HHS Policy for Monitoring Employee Use of HHS IT Resources; andg. In addition to the HHS RoB, the organization may define a system-level RoB acknowledgement.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPursuant to OMB M-17-12, organizational rules of behavior must include a policy outlining the rules of behavior to safeguard personally identifiable information (PII) and identifying consequences and corrective actions for failure to follow these rules. Consequences should be commensurate with level of responsibility and type of PII involved.\r\n\r\n','This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users, including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures (or other electronic mechanisms) for acknowledging rules of behavior.Rules of behavior are aligned with HHS requirements and made readily available.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nRules of behavior govern expectations of system users for systems that handle sensitive information such as PII.\r\n\r\n',' AC-2, AC-6, AC-8, AC-9, AC-17, AC-18, AC-19, AC-20, AT-2, AT-3, CM-11, IA-2, IA-4, IA-5, MP-7, PS-6, PS-8, SA-5, AR-5'),(304,'PL-04(01)','Planning','Social Media and Networking Restrictions ','P2','High; Moderate','The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.\r\n\r\n','This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) When organizational personnel are using such sites for official duties or in the conduct of official business; (ii) When organizational information is involved in social media/networking transactions; and (iii) When personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.\r\n\r\n',' '),(305,'PL-08','Planning','Information Security Architecture ','P1','High; Moderate','The organization: a. Develops an information security architecture for the information system that:   1.  Describes the overall requirements and approach to be taken regarding protecting the confidentiality, integrity, and availability of organizational information;   2. Describes how the information security architecture is integrated into and supports the enterprise architecture; and   3. Describes any information security assumptions about, and dependencies on, external services. b. Reviews and updates (as necessary) the information security architecture no less often than every three (3) years and whenever changes are made to the enterprise architecture;  c. Ensures that planned information security architecture changes are reflected in the security plan and organizational procurements/acquisitions; andd. Ensures that the planned information security architecture is consistent with the COSA’s enterprise architecture program and is based on the taxonomy of the Federal Enterprise Architecture (FEA).\r\n\r\n','This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs.In today’s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers (to include CSPs). Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization’s enterprise architecture and information security architecture.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe information security architecture identifies security and privacy controls necessary to support privacy requirements. The SAOP or CPO are the best resource for identifying privacy requirements and privacy controls.\r\n\r\n',' CM-2, CM-6, PL-2, PM-7, SA-5, SA-17, AR-7, Appendix J'),(306,'PS-01','Personnel Security ','Personnel Security Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:  1. A personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and  2. Procedures to facilitate the implementation of the personnel security policy and associated personnel security controls. b. Reviews and updates (as necessary) the current:  1. Personnel security policy within three (3) years; and  2. Personnel security procedures within every three (3) years.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe personnel security policies and procedures must address the different levels of background investigations, or other personnel security requirements, necessary to access different levels of personally identifiable information (PII).\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or, conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nRoles that require access to certain types of sensitive information, such as PII may require additional personnel security measures beyond those applied to the general workforce of an organization. This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' PM-9'),(307,'PS-02','Personnel Security ','Position Risk Designation ','P1','High; Moderate; Low','The organization: a. Assigns a risk designation to all organizational positions; b. Establishes screening criteria for individuals filling those positions; c. Ensures that all individuals with significant security responsibilities possess, at a minimum, a Tier 2S background investigation;d. Ensures that individuals are designated to position-sensitivity levels that are commensurate with the responsibilities and risks associated with the position; and e. Reviews and, if necessary, updates position risk designations at least within three years or whenever a position’s duties are changed/revised/realigned, and ensures that these risk designations are consistent with OPM policy and guidance. in accordance with COSA Personnel Security Policy\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhether a member of the workforce will be working with personally identifiable information (PII) is a factor in determining the screening criteria for working in the position.\r\n\r\n','Position risk designations reflect OPM policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPosition risk designations, for different levels of access to sensitive information such as PII should be commensurate with the risks associated with the confidentiality impact level for the information.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' AT-3, PL-2, PS-3'),(308,'PS-03','Personnel Security ','Personnel Screening ','P1','High; Moderate; Low','The organization: a. Screens individuals prior to authorizing access to the information system; b. Rescreens individuals periodically and anytime they move to a new position with a higher risk designation, in accordance with COSA Personnel Security Policy;c. Conducts background investigations in a manner commensurate with OPM, HHS, and COSA Personnel Security policy and guidance;d. Performs reinvestigations for active national security clearances in accordance with guidance provided by current personnel security policy; ande. Refuses employees and contractors access to information systems until they have: 1. Been vetted in accordance with agency policy; and 2. Signed the appropriate access agreements.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIndividuals that work with personally identifiable information (PII) are screened prior to being provided access to the PII and re-screened as determined by the organization.\r\n\r\n','Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nScreening individuals who are provided access to sensitive information, such as PII, and re-screening as deemed appropriate by COSA or the organization, reduces risk.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' AC-2, IA-4, PE-2, PS-2'),(309,'PS-03(03)','Personnel Security ','Non-Mandatory: Information with Special Protection Measures ','P3','','The organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:a. Have valid access authorizations that are demonstrated by assigned official government duties; andb. Satisfy additional personnel screening periodically, consistent with the sensitivity of the information being accessed.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAccess to sensitive information, such as personally identifiable information (PII) and protected health information (PHI), requires both a valid need to know as documented by an access authorization request, and requires a background investigation (or appropriate screening) to ensure the individual being provided access is suitable.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' AR-5'),(310,'PS-04','Personnel Security ','Personnel Termination ','P2','High; Moderate; Low','The organization, upon termination of individual employment: a. Disables information system access in accordance with Implementation Standard 1; b. Terminates/revokes any authenticators/credentials associated with the individual; c. Conducts exit interviews that include a discussion of non-disclosure of information security and privacy information; d. Retrieves all security-related organizational information system-related property; e. Retains access to organizational information and information systems formerly controlled by the terminated individual; f. Notifies defined personnel or roles (defined in the applicable security plan) within one (1) calendar day; and g. Immediately escorts employees terminated for cause out of the organization.\r\n\r\n','Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and non-availability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.Appropriate personnel have access to official records created by terminated employees that are stored on information systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control governs termination procedures for access to sensitive information, such as personally identifiable information (PII).\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' AC-2, IA-4, PE-2, PL-4, PS-5, PS-6'),(311,'PS-04(02)','Personnel Security ','Automated Notification ','P1','High','The organization employs automated mechanisms to notify defined personnel/roles as designated by the organization (e.g., Human Resources, managers/supervisors, system administrators, physical security personnel) upon termination of an individual.\r\n\r\n','In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications—or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.\r\n\r\n',' '),(312,'PS-05','Personnel Security ','Personnel Transfer ','P2','High; Moderate; Low','The organization: a. Reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization; b. Initiates the following transfer or reassignment actions during the formal transfer process:   1. Re-issuing or confirming the need to continue to have/access appropriate information system-related property (e.g., keys, identification cards, building passes);   2.  Notifying security management;   3. Closing obsolete accounts and establishing new accounts; and  4. When an employee moves to a new position of trust, re-evaluating logical and physical access controls as soon as possible but not to exceed 30 days. c.  Modifying access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and d.  Notifying defined personnel or roles (defined in the applicable security plan) within one (1) business day.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIndividuals that work with personally identifiable information (PII) are screened prior to being provided access to the PII and re-screened as determined by the organization.\r\n\r\n','This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) Returning old and issuing new keys, identification cards, and building passes; (ii) Closing information system accounts and establishing new accounts; (iii) Changing information system access authorizations (i.e., privileges); and (iv) Providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen personnel are reassigned or transferred, their access to sensitive information, such as PII, must be reviewed to determine whether and how their access permissions should change.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' AC-2, IA-4, PE-2, PS-4'),(313,'PS-06','Personnel Security ','Access Agreements ','P3','High; Moderate; Low','The organization: a. Develops and documents access agreements for organizational information systems; b. Reviews and updates the access agreements as part of the system security authorization or when a contract is renewed or extended, but minimally within every 365 days, whichever occurs first; and c. Ensures that individuals requiring access to organizational information and information systems:  1. Acknowledge (paper or electronic) appropriate access agreements prior to being granted access; and  2. Re-acknowledge access agreements to maintain access to organizational information systems when access agreements have been updated or within every 365 days.\r\n\r\n','Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.The HHS RoB is the standard HHS access agreement. All new users of HHS, including COSA, information resources must read the HHS RoB and sign the accompanying acknowledgement form before accessing Department data or other information, systems, and/or networks. This acknowledgement must be completed every 365 days thereafter, which may be done as part of annual the organization Information Systems Security Awareness Training (see AT-3).\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nExamples of access agreement documents required for access to personally identifiable information (PII) may include access authorization requests, nondisclosure agreements, acceptable use agreements, privacy training and awareness, and rules of behavior.\r\n\r\n',' AC-2, PL-4, PS-2, PS-3, PS-4, PS-8, AR-5'),(314,'PS-07','Personnel Security ','Third-Party Personnel Security ','P1','High; Moderate; Low','The organization: a. Establishes personnel security requirements including security roles and responsibilities for third-party (e.g. external, contractor or cloud service provider [CSP]) providers; b. Requires third-party providers to comply with personnel security policies and procedures established by the organization; c. Documents personnel security requirements; d. Requires third-party providers to notify Contracting Officers or Contracting Officer Representatives (via the roster of contractor personnel) of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges as soon as possible within a maximum of 72 hours for systems designated as High impact; seven calendar days for systems designated as Moderate impact, or 30 calendar days for systems designated as Low impact, from the formal termination action; ande. Monitors provider compliance.\r\n\r\n','Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThis control ensures that third-party service providers (to include CSPs) that will have access to sensitive information, such as personally identifiable information (PII), are held accountable in the same way the organizational personnel are held accountable.\r\n\r\n',' PS-2, PS-3, PS-4, PS-5, PS-6, SA-9, SA-21, AR-3'),(315,'PS-08','Personnel Security ','Personnel Sanctions ','P3','High; Moderate; Low','The organization: a. Employs a formal sanctions process for individuals failing to comply with established information security policies and procedures; and b. Notifies defined personnel or roles (defined in the applicable security plan) within defined time period (defined in the applicable security plan), not to exceed three calendar days for systems designated as High impact; seven calendar days for systems designated as Moderate impact; and thirty calendar days for systems designated as Low impact when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.\r\n\r\n','Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of General Counsel regarding matters of employee sanctions.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIf the personnel sanctions are associated with the loss, theft, or compromise of personally identifiable information (PII), additional care must be taken to prevent further privacy incidents. When providing notice of sanctions, do not provide the PII involved in the incident to anyone without an explicit need to know. Unless the individual needs the specific PII elements breached to perform their job function, the individual does not need to know the PII. Instead, provide characterization of the type(s) of PII breached (e.g., provide “Full Name” instead of providing “John Doe,” or “Blood Type” instead of “A positive”).\r\n\r\n',' PL-4, PS-6'),(316,'RA-01','Risk Assessment','Risk Assessment Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:  1. A risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and  2. Procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls on information systems and paper records; and b. Reviews and updates (as necessary) the current:  1. Risk assessment policy within every three (3) years and  2. Risk assessment procedures within every three (3) years.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nOrganization risk assessment policy and procedures must incorporate the requirements to conduct information system privacy risk management processes across the life cycle of an information system collecting, using, maintaining, and/or disseminating personally identifiable information (PII).\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or, conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe Privacy Office (Senior Official for Privacy) should be consulted when developing risk assessment policy and procedures to cover information systems containing PII.\r\n\r\n',' PM-2, PM-9, AR-2'),(317,'RA-02','Risk Assessment','Security Categorization ','P1','High; Moderate; Low','The organization: a. Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; b. Documents the security categorization results (including supporting rationale) in the security plan for the information system; and c. Ensures the security categorization decision is reviewed and approved by the authorizing official or authorizing official’s designated representative.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nInvolve the Senior Official for Privacy, or their designee, when conducting the security categorization process for information systems containing personally identifiable information (PII) or protected health information (PHI).\r\n\r\n','Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives (HSPD), potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.All COSA information systems categorized as High or Moderate are considered sensitive or contain sensitive information. All COSA information systems categorized as Low are considered non-sensitive or contain non-sensitive information. Organizations implement the minimum-security requirements and controls as established in the current COSA Information Security COSA Standard, based on the system security categorization.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nA determination of security categorization is based in part on whether the information is PII, or the system contains sensitive information such as PII, and is a fundamental determination for implementing security controls.\r\n\r\n',' CM-8, MP-4, RA-3, SC-7'),(318,'RA-03','Risk Assessment','Risk Assessment ','P1','High; Moderate; Low','The organization: a. Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits; b. Conducts an E-Authentication Risk Assessment (ERA), as required, on systems and determines e-authentication assurance levels;c. Documents risk assessment results in the applicable security plan; d. Reviews risk assessment results within every 365 days; e. Disseminates risk assessment results to affected stakeholders, Business Owners(s), and the COSA CISO; and f. Updates the risk assessment before issuing a new authority to operate (ATO) package or within every three (3) years, whichever comes first; or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security or authorization state of the system.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nInclude an assessment of the potential risks and vulnerabilities to the confidentiality, integrity, and availability of personally identifiable information (PII) in the related risk assessment documentation.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization documents risk assessment results in a HIPAA Risk Analysis, and associated risks to PHI must be identified within the overall risk assessment. All risk assessment documentation must reflect these findings. All HIPAA Risk Analysis documentation must be maintained for 6 years from the date of creation or date it was last in effect – whichever is later.\r\n\r\n','Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also consider risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems.Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nA standardized risk assessment process should include a consideration of risks associated with the collection, maintenance, and use of sensitive information such as PII. Effective implementation of privacy risk management processes requires both organizational and information system processes across the life cycle of the mission, business processes, and information system. An evaluation of privacy risk for an information system benefits an organization and the individuals whose PII are included by enabling the organization to identify, evaluate, and manage the privacy risks for the information in that system. The content of the privacy risk assessment performed under this control should be addressed in concert with the privacy risk evaluation conducted through the internal risk management process to ensure privacy risks are identified, evaluated, and managed in information systems containing privacy-related sensitive information. A standardized risk assessment process should include a consideration of risks associated with the collection, maintenance, and use of sensitive information such as PII. An evaluation of risks associated with the potential impact of loss of the PII must be identified within the overall risk assessment. All risk assessment documentation must reflect these findings.Effective implementation of privacy risk management processes requires both organizational and information system processes across the life cycle of the mission, business processes, and information system. An evaluation of privacy risk for an information system benefits an organization and the individuals whose PII are included by enabling the organization to identify, evaluate, and manage the privacy risks for the information in that system. The content of the privacy risk assessment performed under this control should be addressed in concert with the privacy risk evaluation conducted through the internal risk management process to ensure privacy risks are identified, evaluated, and managed in information systems containing privacy-related sensitive information.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe Department of Health and Human Services has issued Final Guidance on Risk Analysis (Assessment) under the HIPAA Security Rule (see  HYPERLINK \"http://www.hhs.gov/sites/default/files/ocr/privacy/hipaa/administrative/securityrule/rafinalguidancepdf.pdf\" ).\r\n\r\n',' RA-2, PM-9, AR-2'),(319,'RA-05','Risk Assessment','Vulnerability Scanning ','P1','High; Moderate; Low','The organization: a. Scans for vulnerabilities in the information system and hosted applications no less often than once every 72 hours and when new vulnerabilities potentially affecting the system/applications are identified and reported; b. Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:  1. Enumerating platforms, software flaws, and improper configurations;  2. Formatting checklists and test procedures;  3. Measuring vulnerability impact; 4. Complying with DHS Continuous Diagnostics and Mitigation program and COSA requirements; and 5. Complying with required reporting metrics (e.g., CyberScope).c. Analyzes vulnerability scan reports and results from security control assessments; d. Remediates vulnerabilities based on the Business Owner’s risk prioritization in accordance with the guidance defined under security control SI-02; and e. Shares information obtained from the vulnerability scanning process and security control assessments with affected/related stakeholders on a “need to know” basis to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).\r\n\r\nSystems defined as CSPs:\r\n\r\nThis control requirement replaces RA-05(a.):   a. Scans for vulnerabilities in the information system and hosted applications at least every 30 days and when new vulnerabilities potentially affecting the system/applications are identified and reported.\r\n\r\n','Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).The organization remediates vulnerabilities based on the Business Owner’s risk prioritization in accordance with the guidance defined under security control SI-02.Penetration testing is covered under CA-08. Contact your CRA or the CCIC for the list of compliant formats.\r\n\r\n',' CA-2, CA-7, CM-4, CM-6, RA-2, RA-3, SA-11, SI-2'),(320,'RA-05(01)','Risk Assessment','Update Tool Capability ','P1','High; Moderate','The organization employs vulnerability scanning tools that include the capability to readily update the list of information system vulnerabilities scanned.\r\n\r\n','The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.The assessment capability must support updates that include predefined or custom content (i.e., meet Continuous Diagnostics and Mitigation required formats and updating frequencies) and provide the capability to update assessment content.\r\n\r\n',' SI-3, SI-7'),(321,'RA-05(02)','Risk Assessment','Update by Frequency/Prior to New Scan/When Identified ','P1','High; Moderate','The organization updates the database of known information system vulnerabilities to be used in the scanning process no less often than every 72 hours, immediately prior to a new scan, and when new vulnerabilities are identified and reported.\r\n\r\nSystems defined as CSPs:\r\n\r\nFor CSPs, this Standard replaces the requirement defined within RA-05(02). The organization updates the list of information system vulnerabilities scanned no less often than before each scan.\r\n\r\n','None.\r\n\r\n',' SI-3, SI-5'),(322,'RA-05(03)','Risk Assessment','Non-Mandatory: Breadth/Depth of Coverage  ','P3','','The organization employs vulnerability scanning procedures that can identify/demonstrate the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).\r\n\r\n','The identification of the breadth and depth of coverage can include, for example, the system components scanned and the vulnerabilities checked.\r\n\r\n',' '),(323,'RA-05(04)','Risk Assessment','Discoverable Information ','P1','High','The organization determines what information about the information system is discoverable by adversaries, and subsequently takes appropriate corrective actions to limit discoverable system information.\r\n\r\n','Discoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.\r\n\r\n',' AU-13'),(324,'RA-05(05)','Risk Assessment','Privileged Access ','P1','High; Moderate','The information system implements privileged access authorization to operating system, telecommunications, and configuration components for selected vulnerability scanning activities to facilitate more thorough scanning.\r\n\r\n','In certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning.Privileged access mechanisms must be compliant with COSA requirements for access to elevated privilege accounts. The assessment capability must support use of credentialed scans. Credentialed access is compliant with COSA policy.\r\n\r\n',' '),(325,'SA-01','System and Services Acquisition','System and Services Acquisition Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:   1. A system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and   2. Procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and b. Reviews and updates (as necessary) the current:   1. System and services acquisition policy within every three (3) years; and   2. System and services acquisition procedures within every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' PM-9'),(326,'SA-02','System and Services Acquisition','Allocation of Resources ','P1','High; Moderate; Low','The organization: a. Determines information security requirements for the information system or information system service in mission/business process planning; b. Determines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; c. Includes information security requirements in mission/business case planning, and d. Establishes a discrete line item in COSA’s programming and budgeting documentation for the implementation and management of information systems security.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAs part of the capital planning and investment control process, the organization must determine, document, and allocate resources required to protect the privacy and confidentiality of personally identifiable information (PII) in the information system.\r\n\r\n','Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nResources must be considered for the protection of privacy and confidentiality when budgeting for an information system.\r\n\r\n',' PM-3, PM-11'),(327,'SA-03','System and Services Acquisition','System Development Life Cycle ','P1','High; Moderate; Low','The organization: a. Manages the information system using a formally defined and documented system development life cycle (SDLC) process that incorporates information security considerations b. Defines and documents information security roles and responsibilities throughout the system development life cycle; c. Identifies individuals having information system security roles and responsibilities; and d. Integrates the organizational information security risk management process into system development life cycle activities.\r\n\r\n','A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTo ensure that privacy and security controls are appropriately considered during each phase of the SDLC, both the security and privacy offices should have a clear understanding of the requirements to protect PII. The privacy office should participate throughout the SDLC.\r\n\r\n',' AT-3, PM-7, SA-8'),(328,'SA-04','System and Services Acquisition','Acquisition Process ','P1','High; Moderate; Low','The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs: a. Security functional requirements; b. Security strength requirements; c. Security assurance requirements; d. Security-related documentation requirements; e. Requirements for protecting security-related documentation; f. Description of the information system development environment and environment in which the system is intended to operate; and g. Acceptance criteria.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen acquiring information systems, components, or services used to store, process, or transmit personally identifiable information (PII), ensure the following, in consultation with the privacy office, are included in the acquisition contract:  a. List of security and privacy controls necessary to ensure protection of PII and, if appropriate, enforce applicable privacy requirements.  b. Privacy requirements set forth in Appendix J of NIST SP 800-53, Rev. 4, including privacy training and awareness, and rules of behavior.  c. Privacy functional requirements, i.e., functional requirements specific to privacy.  d. Federal Acquisition Regulation (FAR) Clauses per FAR Part 24 (clauses 52.224-1, Privacy Act Notification, and 52.224-2, Privacy Act. and Part 39 (clauses 39.105, Privacy, and 39.116, Contract clause), and any other organization-specific privacy clauses.\r\n\r\n','Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include requirements for degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include:   (i) Development processes, procedures, practices, and methodologies; and   (ii) Evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle.Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values using assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nContracts for information systems, components, or services must meet the privacy requirements of the Federal Government. It is much easier, and cheaper, to build privacy into a system at the acquisition phase of the life cycle than it is to bolt it on after the system is already acquired.\r\n\r\n',' CM-6, PL-2, PS-7, SA-3, SA-5, SA-8, SA-11, SA-12, AR-7'),(329,'SA-04(01)','System and Services Acquisition','Functional Properties of Security Controls ','P1','High; Moderate','The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.\r\n\r\n','Functional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.\r\n\r\n',' SA-5'),(330,'SA-04(02)','System and Services Acquisition','Design/Implementation Information for Security Controls ','P1','High; Moderate','The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: a. Security-relevant external system interfaces at sufficient detail to understand the existence, purpose, and use of all such interfaces; b. Source code and hardware schematics; andc. High-level design documentation at sufficient detail to prove the security control implementation.\r\n\r\n','Organizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.\r\n\r\n',' SA-5'),(331,'SA-04(08)','System and Services Acquisition','Non-Mandatory: Continuous Monitoring Plan ','P3','','The organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that meets COSA and Federal requirements (e.g., Continuous Diagnostics and Mitigation, ongoing authorization).\r\n\r\n','The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.\r\n\r\n',' CA-7'),(332,'SA-04(09)','System and Services Acquisition','Functions/Ports/Protocols/Services in Use ','P1','High; Moderate','The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use.\r\n\r\n','The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services (or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.\r\n\r\n',' CM-7, SA-9'),(333,'SA-04(10)','System and Services Acquisition','Use of Approved PIV Products ','P1','High; Moderate; Low','The organization employs only information technology products on the FIPS 201-approved products list for PIV capability implemented within organizational information systems.\r\n\r\n','None.\r\n\r\n',' IA-2, IA-8'),(334,'SA-05','System and Services Acquisition','Information System Documentation ','P2','High; Moderate; Low','The organization: a. Obtains administrator documentation for the information system, system component, or information system service that describes:    1. Secure configuration, installation, and operation of the system, component, or service;    2. Effective use and maintenance of security functions/mechanisms; and    3. Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions; b. Obtains user documentation for the information system, system component, or information system service that describes:    1. User-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;    2. Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and    3. User responsibilities in maintaining the security of the system, component, or service; c. Documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent, and evaluate whether such documentation is essential for the effective implementation or operation of security controls; d. Protects documentation as required, in accordance with the risk management strategy; and e. Distributes documentation to defined personnel or roles (defined in the applicable system security plan [SSP]).\r\n\r\n','This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.\r\n\r\n',' CM-6, CM-8, PL-2, PL-4, PS-2, SA-3, SA-4'),(335,'SA-08','System and Services Acquisition','Security Engineering Principles ','P1','High; Moderate','The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.\r\n\r\n','Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example:   (i) Developing layered protections;   (ii) Establishing sound security policy, architecture, and controls as the foundation for design;   (iii) Incorporating security requirements into the system development life cycle;   (iv) Delineating physical and logical security boundaries;  (v) Ensuring that system developers are trained on how to build secure software;   (vi) Tailoring security controls to meet organizational and operational needs;   (vii) Performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and   (viii) Reducing risk to acceptable levels, thus enabling informed risk management decisions.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen applying information system security engineering principles in the specification, design, development, implementation, and modification of an information system containing personally identifiable information (PII), the organization should apply privacy-enhanced system design and development principles described in NIST SP 800-53, Rev. 4, Appendix J.\r\n\r\n',' PM-7, SA-3, SA-4, SA-17, SC-2, SC-3, AR-7'),(336,'SA-09','System and Services Acquisition','External Information System Services ','P1','High; Moderate; Low','The organization: a. Requires that providers of external information system services comply with organizational information security requirements and employ appropriate controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; b. Defines and documents government oversight and user roles and responsibilities regarding external information system services in a SLA or similar agreement; and c. Employs defined processes, methods, and techniques (defined in the applicable system security plan [SSP]) to monitor security control compliance by external service providers on an ongoing basis.\r\n\r\n','External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the Federal Government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services that are external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe information security requirements and controls are documented through a written contract, or other arrangement that meets the requirements of 45 C.F.R. §164.314(a). This guidance is not intended to cover the acquisition of services of all third-party providers, only those who rise to the level of a business associate of a covered entity.\r\n\r\n',' CA-3, IR-7, PS-7'),(337,'SA-09(02)','System and Services Acquisition','Identification of Functions/Ports/Protocols/Services ','P1','High; Moderate','The organization requires providers of external information system services, as defined in the applicable System Security Plan, to identify the functions, ports, protocols, and other services required for the use of such services.\r\n\r\n','Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.\r\n\r\n',' CM-7'),(338,'SA-09(05)','System and Services Acquisition','Non-Mandatory: Processing, Storage, and Service Location ','P3','','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIf the service provider will be maintaining personally identifiable information (PII) outside of the United States, the organization must evaluate the legal environment of the country in which the information will be maintained to ensure US equities are protected. If the service provider is in the US and the PII is about non-US Citizens, then the organization must address the data transfer requirements of the country whose citizens PII is collected or maintained and must ensure that country’s privacy/data protection legal requirements are met. The organization must coordinate with its legal counsel, privacy office, and Department of State representative in meeting this requirement.\r\n\r\nSystems defined as CSPs:\r\n\r\nThe organization restricts the location of information processing, information/data, and information system services to organization-defined locations based on program requirements or conditions. In no case may the safeguards afforded to sensitive information be less than the safeguards mandates by COSA, federal law, Executive Order, or other authoritative direction.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.Other countries have different requirements for the protection of PII of either their own citizens or for transfer of PII across national borders. When selecting a service provider, the location for storage, maintenance, or processing must be considered. Some organizations, such as European Union member states, have very stringent data transfer restriction requirements and your organization may have a treaty or other agreement for data exchange and/or protection. Consult with your legal counsel or your organization’s liaison to the Department of State.\r\n\r\n',' '),(339,'SA-10','System and Services Acquisition','Developer Configuration Management ','P1','High; Moderate','The organization requires the developer of the information system, system component, or information system service to: a. Perform configuration management during system, component, or service development, implementation, and operation; b. Document, manage, and control the integrity of changes to configuration items under configuration management; c. Implement only organization-approved changes to the system, component, or service; d. Document approved changes to the system, component, or service and the potential security impacts of such changes; and e. Track security flaws and flaw resolution within the system, component, or service and report findings to defined personnel or roles (defined in the applicable system security plan [SSP]).\r\n\r\n','This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.\r\n\r\n',' CM-3, CM-4, CM-9, SA-12, SI-2'),(340,'SA-10(01)','System and Services Acquisition','Non-Mandatory: Software/Firmware Integrity Verification ','P3','','The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.\r\n\r\n','This control enhancement allows organizations to detect unauthorized changes to software and firmware components using tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.\r\n\r\n',' SI-7, AP-1, AP-2, UL-2'),(341,'SA-11','System and Services Acquisition','Developer Security Testing and Evaluation ','P2','High; Moderate','The organization requires the developer of the information system, system component, or information system service to:a. Create and implement a security assessment plan in accordance with, but not limited to, current COSA procedures;b. Perform unit; integration; system; and regression testing/evaluation in accordance with the COSA eXpedited Life Cycle (XLC);c. Produce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;d. Implement a verifiable flaw remediation process; ande. Correct flaws identified during security testing/evaluation.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nFor information systems containing PII, the organization requires the developer of the information system, system component, or information system service to:  a. Create and implement a security assessment plan that includes assessment of privacy controls.  b. Conduct tests that:    1. Minimize to the use of PII to the maximum extent practicable;    2. Use actual PII only if a formal memorandum of agreement (MOA), memorandum of understanding (MOU), or data exchange agreement has been established between the data owner of the PII and the entity developing/testing the information system including how loss, theft, or compromise (i.e., breach) of PII is to be handled;     3. Use de-identified or anonymized PII to the maximum extent practicable; and    4. Coordinate use of PII with the privacy office before conducting any testing.\r\n\r\n','Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTesting is a key method to ensure privacy controls are implemented. Including privacy controls in the security assessment plan ensures they are tested.\r\n\r\n',' CA-2, CM-4, SA-3, SA-4, SA-5, SI-2, AR-7'),(342,'SA-11(02)','System and Services Acquisition','Non-Mandatory: Threat and Vulnerability Analyses ','P3','','The organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.\r\n\r\n','Applications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created because of those changes have been reviewed and mitigated.\r\n\r\n',' PM-15, RA-5'),(343,'SA-11(05)','System and Services Acquisition','Non-Mandatory: Penetration Testing/Analysis ','P3','','The organization requires information systems, system components, and information system services to undergo penetration testing prior to deployment in the production environment, in a manner that is no less stringent than required under CA-8.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIf the system contains personally identifiable information (PII), then the penetration testing requirements of CA-8, as specified above in this overlay, must be applied.\r\n\r\n','Penetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nProvides for implementation of penetration testing as identified in CA-8.\r\n\r\n',' CA-8'),(344,'SA-11(08)','System and Services Acquisition','Non-Mandatory: Dynamic Code Analysis ','P3','','The organization requires information systems, system components, and information system services to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.\r\n\r\n','Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the way it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).\r\n\r\n',' '),(345,'SA-12','System and Services Acquisition','Supply Chain Protection ','P1','High','The organization protects against supply chain threats to the information system, system component, or information system service by employing best practices and methodologies; and wherever possible, selecting components that have been previously reviewed by other government entities (e.g., National Information Assurance Partnership [NIAP]) as part of a comprehensive, defense-in-breadth information security strategy.\r\n\r\n','Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control enhancement also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.\r\n\r\n',' AT-3, CM-8, IR-4, PE-16, PL-8, SA-3, SA-4, SA-8, SA-10, SA-14, SA-15, SA-18, SA-19, SC-29, SC-30, SC-38, SI-7'),(346,'SA-13','System and Services Acquisition','Non-Mandatory: Trustworthiness ','P3','','The organization: a. Describes (in the applicable system security plan [SSP]) the trustworthiness required in information systems, information system components, or information system services supporting its essential missions/business functions; and b. Implements a level of security-functionality and security-assurance that is sufficient to preserve the confidentiality, integrity, and availability of the information being processed, stored, or transmitted by the system, by following the COSA eXpedited Life Cycle (XLC) and the system authorization process.\r\n\r\n','This control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in NIST 800-53 Appendix E).Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in NIST 800-53 Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in NIST 800-53 Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, government wide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.\r\n\r\n',' RA-2, SA-4, SA-8, SA-14, SC-3'),(347,'SA-15','System and Services Acquisition','Development Process, Standards, and Tools ','P2','High; Moderate','The organization: a. Requires the developer of the information system, system component, or information system service to follow a documented development process that:  1. Explicitly addresses security requirements;  2. Identifies the standards and tools used in the development process;  3. Documents the specific tool options and tool configurations used in the development process; and  4. Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and b. Reviews the development process, standards, tools, and tool options/configurations at least every three (3) years to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy all applicable System Acquisition (SA) and Configuration Management (CM) security controls.\r\n\r\n','Development tools include, for example, programming languages and computer-aided design systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.\r\n\r\n',' SA-3, SA-8'),(348,'SA-15(09)','System and Services Acquisition','Use of Live Data ','P2','High; Moderate','The organization disallows use of live data in development and test environments for the information system, system component, or information system service without prior approval of the Authorizing Official (AO). If approved by the AO, the organization documents and controls the use of live data in the development and test environments for the information system, system component, or information system service at a level commensurate with the sensitivity of the data and way that minimizes the use of live data.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBefore use of live data containing personally identifiable information (PII) in a preproduction environment, the organization must:  a. Implement policies and procedures in coordination with the privacy office for evaluating the risk of use of PII in a preproduction environment;  b. Protect, per NIST SP 800-122, the PII within the preproduction environment at the same level as in the production environment; and  c. Use anonymized data substitution (See NIST SP 800-122, Section 4.2.4) if possible.\r\n\r\n','The use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPreproduction environments may not be as formally controlled as production environments. Use of sensitive information, including PII, in a preproduction environment increases risk to the organization, because the preproduction environment may not be as secure as the production environment. If PII will be provided to a third-party during testing, the organization will need a formal MOA, MOU, or data exchange agreement before providing access to that third-party. Such agreement will at a minimum include how loss, theft, or compromise of PII is to be handled.\r\n\r\n',' SA-9, DM-1(1), DM-3, UL-2'),(349,'SA-16','System and Services Acquisition','Developer-Provided Training ','P2','High','The organization requires the developer of the information system, system component, or information system service to provide appropriate training (or training materials), for affected personnel, on the correct use and operation of the implemented security functions, controls, and/or mechanisms.\r\n\r\n','This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.\r\n\r\n',' AT-2, AT-3, SA-5'),(350,'SA-17','System and Services Acquisition','Developer Security Architecture and Design ','P1','High','The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that: a. Is consistent with and supportive of the organization’s security architecture (see PL-8), which is established within and is an integrated part of the organization’s enterprise architecture (see PM-7); b. Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and c. Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that accurately and completely describes the privacy requirements and the allocation of security and privacy controls among physical and logical components.\r\n\r\n','This control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture, and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities and there is a requirement to demonstrate consistency with the organization’s enterprise architecture and information security architecture.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe security architecture and design identifies security and privacy controls necessary to support privacy requirements. The COSA Senior Official for Privacy is the best resource for identifying privacy requirements and privacy controls.\r\n\r\n',' PL-8, PM-7, SA-3, SA-8, AR-7'),(351,'SA-21','System and Services Acquisition','Non-Mandatory: Developer Screening ','P3','','The organization requires that the developer of information systems, system components, or information system services: a. Have appropriate access authorizations as determined by assigned duties; and b. Satisfy personnel screening criteria as defined by COSA.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization requires that the developer of systems containing personally identifiable information (PII):a. Have appropriate access authorizations as determined by the assigned contracting officer and contracting officer representative, in consultation with the organization’s privacy office; andb. Satisfy organization-defined personnel screening criteria commensurate with increasing level of risk and responsibility for access to, or use of, different levels of PII.\r\n\r\n','Because the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAccess to sensitive information, such as PII and protected health information (PHI), requires both a valid need to know as documented by an access authorization request and requires a background investigation (or appropriate screening) to ensure the individual being provided access is suitable. These access authorization requirements extend to developers of information systems containing sensitive information.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' PS-3, PS-7, AR-5'),(352,'SA-22','System and Services Acquisition','Non-Mandatory: Unsupported System Components ','P3','','The organization: a. Replaces information system components as soon as possible after discovery that support for the components is no longer available from the developer, vendor, or manufacturer, and  b. Where immediate replacement is not possible, provides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.\r\n\r\n','Support for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.\r\n\r\n',' PL-2, SA-3'),(353,'SC-01','System and Communications Protection','System and Communications Protection Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:   1. A system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and   2. Procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and b. Reviews and updates (as necessary) the current:   1. System and communications protection policy within every three (3) years; and   2. System and communications protection procedures within every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or, conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' PM-9'),(354,'SC-02','System and Communications Protection','Application Partitioning ','P1','High; Moderate','The information system separates user functionality (including user interface services) from information system management functionality.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIn any situation where personally identifiable information (PII) is present, PII must be stored on a logical or physical partition separate from the applications and software partition.\r\n\r\n','Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, and servers and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIt is necessary to store sensitive information, such as PII, on separate logical partitions from applications and software that provide user functionality to restrict accidental or unintentional loss of, or access to, sensitive information by both unauthorized users and unauthorized applications.\r\n\r\n',' SA-4, SA-8, SC-3'),(355,'SC-03','System and Communications Protection','Security Function Isolation ','P1','High','The information system isolates security functions from non-security functions.\r\n\r\n','The information system isolates security functions from non-security functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from non-security functions) in several ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk and address space protections that protect executing code. Information systems restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include non-security functions within the isolation boundary as an exception.\r\n\r\n',' AC-3, AC-6, SA-4, SA-5, SA-8, SA-13, SC-2, SC-7, SC-39'),(356,'SC-03(02)','System and Communications Protection','Non-Mandatory: Access/Flow Control Functions ','P3','','The information system isolates security functions enforcing access and information flow control from non-security functions and from other security functions.\r\n\r\n','Security function isolation occurs because of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.\r\n\r\n',' '),(357,'SC-03(03)','System and Communications Protection','Non-Mandatory: Minimize non-security Functionality ','P3','','The organization minimizes the number of non-security functions included within the isolation boundary containing security functions.\r\n\r\n','Where it is not feasible to achieve strict isolation of non-security functions from security functions, it is necessary to take actions to minimize the non-security-relevant functions within the security function boundary. Non-security functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of non-security functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing non-security functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.\r\n\r\n',' '),(358,'SC-03(04)','System and Communications Protection','Non-Mandatory: Module Coupling and Cohesiveness ','P3','','The organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.\r\n\r\n','The reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.\r\n\r\n',' '),(359,'SC-03(05)','System and Communications Protection','Non-Mandatory: Layered Structures ','P3','','The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.\r\n\r\n','The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.\r\n\r\n',' '),(360,'SC-04','System and Communications Protection','Information in Shared Resources ','P1','High; Moderate','The information system prevents unauthorized and unintended information transfer via shared system resources.\r\n\r\n','This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nFollowing use of a shared system resource, ensure that shared system resource(s) is purged of personally identifiable information (PII) to prevent unintended users or processes from accessing PII.\r\n\r\n',' AC-3, AC-4, MP-6'),(361,'SC-05','System and Communications Protection','Denial of Service Protection ','P1','High; Moderate; Low','The information system protects against or limits the effects of the types of denial of service attacks defined in NIST SP 800-61, Computer Security Incident Handling Guide, and the following websites by employing defined security safeguards (defined in the applicable system security plan): - SANS Organization:  HYPERLINK \"http://www.sans.org/dosstep\" ; - SANS Organization’s Roadmap to Defeating Distributed Denial of Service (DDoS):  HYPERLINK \"http://www.sans.org/dosstep/roadmap.php\" ; and - NIST National Vulnerability Database:  HYPERLINK \"http://nvd.nist.gov/home.cfm\" .\r\n\r\n','A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.\r\n\r\n',' SC-6, SC-7'),(362,'SC-07','System and Communications Protection','Boundary Protection ','P1','High; Moderate; Low','The information system: a. Monitors and controls communications at the external boundary, both physically and logically, of the system and at key internal boundaries within the system; b. Implements subnetworks for publicly accessible system components that are logically separated from internal organizational networks; and c. Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.\r\n\r\n','Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones (DMZ). Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions. Contact your CRA or the CCIC for the list of compliant formats.\r\n\r\n',' AC-4, AC-17, CA-3, CM-7, CP-8, IR-4, RA-3, SC-5, SC-13'),(363,'SC-07(03)','System and Communications Protection','Access Points ','P1','High; Moderate','The organization limits the number of external network connections to the information system.\r\n\r\n','Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The TIC initiative is an example of limiting the number of external network connections.\r\n\r\n',' '),(364,'SC-07(04)','System and Communications Protection','External Telecommunications Services ','P1','High; Moderate','The organization:(a) Implements a managed interface for each external telecommunication service;(b) Establishes a traffic flow policy for each managed interface;(c) Protects the confidentiality and integrity of the information being transmitted across each interface;(d) Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and(e) Reviews exceptions to the traffic flow policy within every three hundred sixty-five (365) days or implementation of major new system, and removes exceptions that are no longer supported by an explicit mission/business need.\r\n\r\n','None.\r\n\r\n',' SC-8'),(365,'SC-07(05)','System and Communications Protection','Deny by Default/Allow by Exception ','P1','High; Moderate','The information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception).\r\n\r\n','This control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.\r\n\r\n',' '),(366,'SC-07(07)','System and Communications Protection','Prevent Split Tunneling for Remote Devices ','P1','High; Moderate','The information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.\r\n\r\n','This control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPN for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need to prevent split tunneling.\r\n\r\n',' '),(367,'SC-07(08)','System and Communications Protection','Route Traffic to Authenticated Proxy Servers ','P1','High','The information system routes all user-initiated internal communications traffic to untrusted external networks through authenticated proxy servers at managed interfaces.\r\n\r\n','External networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual TCP sessions and blocking specific URLs, domain names, and IP addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.\r\n\r\n',' AC-3, AU-2'),(368,'SC-07(14)','System and Communications Protection','Non-Mandatory: Protects Against Unauthorized Physical Connections ','P3','','The organization protects against unauthorized physical connections at organizationally-defined managed interfaces.\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization protects against unauthorized physical connections at those organization-defined managed interfaces necessary to prevent unauthorized physical access, tampering, and theft of PHI.\r\n\r\n','Information systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nSystem interfaces can provide access to the data flows involving PHI. HIPAA has heightened security requirements to protect these interfaces.Under the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' PE-4, PE-19, RA-3, SI-12'),(369,'SC-07(18)','System and Communications Protection','Fail Secure ','P1','High','The information system fails securely in the event of an operational failure of a boundary protection device.\r\n\r\n','Fail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.\r\n\r\n',' CP-2, SC-24'),(370,'SC-07(21)','System and Communications Protection','Isolation of Information System Components ','P1','High','The organization employs boundary protection mechanisms to separate defined information system components (defined in the applicable system security plan) supporting COSA missions and/or business functions.\r\n\r\n','Organizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber-attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls; separating system components into physically separate networks or subnetworks; cross-domain devices separating subnetworks; virtualization techniques; and encrypting information flows among system components using distinct encryption keys.\r\n\r\n',' CA-9, SC-3'),(371,'SC-08','System and Communications Protection','Transmission Confidentiality and Integrity ','P1','High; Moderate','The information system protects the confidentiality and integrity of information. Any transmitted data containing sensitive information must be encrypted using a FIPS 140-2 validated module (See SC-13 and HHS Standard for Encryption of Computing Devices and Information).\r\n\r\n','This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing physical distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs) may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBecause of the sensitivity of personally identifiable information (PII) and protected health information (PHI), the confidentiality and integrity of such information in transit must be assured.\r\n\r\n',' AC-17, PE-4, SI-04, AR-4'),(372,'SC-08(01)','System and Communications Protection','Cryptographic or Alternate Physical Protection ','P1','High; Moderate','The information system implements cryptographic mechanisms to prevent unauthorized disclosure of information and detect changes to information during transmission unless otherwise protected by approved alternative safeguards and defined in the applicable system security plan and Information System Risk Assessment.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nFIPS-validated encryption or protected distribution systems are used to protect personally identifiable information (PII) to ensure the information’s confidentiality and integrity during transmission.\r\n\r\n','Encrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. However, protected distribution systems can achieve similar results while allowing continuous monitoring of traffic and content through automated DLP systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBecause of the sensitivity of PII, the confidentiality and integrity of such information in transit must be assured with encryption techniques if assurance is not provided by other means.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization. However, using cryptographic protection allows the organization to utilize the “Safe Harbor” provision under the Breach Notification Rule. If PHI is encrypted pursuant to the Guidance Specifying the Technologies and Methodologies that Render Protected Health Information Unusable, Unreadable, or Indecipherable to Unauthorized Individuals (45 C.F.R. Part 164 Subpart D), then no breach notification is required following an impermissible use or disclosure of the information. Therefore, organizations should use cryptographic protections for PHI stored on electronic media.\r\n\r\n',' SC-13'),(373,'SC-08(02)','System and Communications Protection','Non-Mandatory: Pre/Post Transmission Handling','P3','','The information system maintains the confidentiality and integrity of information during preparation for transmission and during reception.\r\n\r\n','Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBecause of the sensitivity of personally identifiable information (PII), the integrity of information in transit must be assured at all points during aggregation, packaging and transformation.\r\n\r\n',' AC-13, AU-10'),(374,'SC-10','System and Communications Protection','Network Disconnect ','P2','High; Moderate','The information system: a. terminates the network connection associated with a communications session at the end of the session, or:   1. Forcibly de-allocates communications session Dynamic Host Configuration Protocol (DHCP) leases after seven (7) days; and   2. Forcibly disconnects inactive VPN connections after thirty (30) minutes or less of inactivity; andb. terminates or suspends network connections (i.e., a system to system interconnection) upon issuance of an order by the COSA CIO, CISO, or Senior Official for Privacy (SOP).\r\n\r\n','This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating-system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.A session is an encounter between an end-user interface device (e.g., computer, terminal, process) and an application, including a network logon—the AC-11 session lock applies. A connection-based session is one that requires a connection to be established between hosts prior to an exchange of data.\r\n\r\n',' '),(375,'SC-12','System and Communications Protection','Cryptographic Key Establishment and Management ','P1','High; Moderate; Low','When cryptography is required and used within the information system, the organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with the HHS Standard for Encryption of Computing Device and organizationally-defined requirements (defined in, or referenced by, the applicable System Security Plan) for key generation, distribution, storage, access, and destruction.\r\n\r\n','Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBecause cryptography is desired to protect sensitive information such as personally identifiable information (PII) and protected health information (PHI), cryptographic key establishment and management must be performed in such a way that even the loss of keys will not permit access to the sensitive information.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization. However, using cryptographic protection allows the organization to utilize the “Safe Harbor” provision under the Breach Notification Rule.  If PHI is encrypted pursuant to the Guidance Specifying the Technologies and Methodologies that Render Protected Health Information Unusable, Unreadable, or Indecipherable to Unauthorized Individuals (45 C.F.R. Part 164 Subpart D), then no breach notification is required following an impermissible use or disclosure of the information. Therefore, organizations should use cryptographic protections for PHI stored on electronic media.\r\n\r\n',' SC-13, SC-17'),(376,'SC-12(01)','System and Communications Protection','Availability ','P1','High','The organization maintains availability of information in the event of the loss of cryptographic keys by users.\r\n\r\n','Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).\r\n\r\n',' '),(377,'SC-13','System and Communications Protection','Cryptographic Protection ','P1','High; Moderate; Low','The information system implements cryptographic mechanisms, in transit and at rest, as defined in the HHS Standard for Encryption of Computing Devices and Information, and in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.\r\n\r\n','Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).This control applies to applications with an integrated access control mechanism, such as WinZip and SecureZip, as well as the underlying operating system. These applications must meet COSA (FIPS 140-2 validated module) requirements.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nFIPS-validated cryptographic modules are the government standard for encryption. When sensitive information such as PII requires encryption, the organization must comply with these standards.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization. However, using cryptographic protection allows the organization to utilize the “Safe Harbor” provision under the Breach Notification Rule.  If PHI is encrypted pursuant to the Guidance Specifying the Technologies and Methodologies that Render Protected Health Information Unusable, Unreadable, or Indecipherable to Unauthorized Individuals (45 C.F.R. Part 164 Subpart D), then no breach notification is required following an impermissible use or disclosure of the information. Therefore, organizations should use cryptographic protections for PHI stored on electronic media.\r\n\r\n',' '),(378,'SC-15','System and Communications Protection','Collaborative Computing Devices ','P1','High; Moderate; Low','The organization prohibits running collaborative computing mechanisms, unless explicitly authorized, in writing, by the COSA CIO or his/her designated representative. If collaborative computer is authorized, the authorization must specifically identify allowed mechanisms, allowed purpose, and the information system upon which the mechanisms can be used. The information system: a. Prohibits remote activation of collaborative computing devices; and b. Provides an explicit indication of use to users physically present at the devices.\r\n\r\n','Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.\r\n\r\n',' AC-21'),(379,'SC-15(01)','System and Communications Protection','Physical Disconnect ','P1','High; Moderate; Low','If collaborative computing is authorized, the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.\r\n\r\n','Failing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants carry out the disconnection activity without having to go through complex and tedious procedures.\r\n\r\n',' '),(380,'SC-17','System and Communications Protection','Public Key Infrastructure Certificates ','P1','High; Moderate','The organization issues public key certificates under an appropriate certificate policy or obtains public key certificates from an approved service provider.\r\n\r\n','For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.\r\n\r\n',' SC-12'),(381,'SC-18','System and Communications Protection','Mobile Code ','P2','High; Moderate','The organization: a. Defines acceptable and unacceptable mobile code and mobile code technologies; b. Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and c. Authorizes, monitors, and controls the use of mobile code within the information system.\r\n\r\n','Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.\r\n\r\n',' AU-2, AU-12, CM-2, CM-6, SI-3'),(382,'SC-19','System and Communications Protection','Voice Over Internet Protocol ','P1','High; Moderate','The organization prohibits the use of VoIP technologies, unless explicitly authorized, in writing, by the CIO or his/her designated representative. If VoIP is authorized, the organization: a. Establishes usage restrictions and implementation guidance for VoIP technologies based on the potential to cause damage to the information system if used maliciously; b. Authorizes, monitors, and controls the use of VoIP within the information system; and c. Ensures VoIP equipment used to transmit or discuss sensitive information is protected with COSA (FIPS 140-2 validated module) encryption requirements.\r\n\r\n','VoIP applications and devices must be configured meet COSA (FIPS 140-2 validated module) requirements.FIPS 140-2 approved security function families are found at  HYPERLINK \"http://csrc.nist.gov/groups/STM/cavp/validation.html\" . However, implementing an approved security function is the start. The product must also be on the approved validation lists. (See  HYPERLINK \"http://csrc.nist.gov/groups/STM/cmvp/documents/140-1/140val-all.htm\"  for a list of current validated products.)\r\n\r\n',' CM-6, SC-7, SC-15'),(383,'SC-20','System and Communications Protection','Secure Name/Address Resolution Service ','P1','High; Moderate; Low','The information system: a. Provides additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and b. Provides the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.\r\n\r\n','This control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name service (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.\r\n\r\n',' AU-10, SC-8, SC-12, SC-13, SC-21, SC-22'),(384,'SC-21','System and Communications Protection','Secure Name/Address Resolution Service ','P1','High; Moderate; Low','The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.\r\n\r\n','Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching DNS servers. DNS client resolvers either perform validation of DNS Security (DNSSEC) signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.\r\n\r\n',' SC-20, SC-22'),(385,'SC-22','System and Communications Protection','Architecture and Provisioning for Name/Address Resolution Service ','P1','High; Moderate; Low','The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.\r\n\r\n','Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching DNS servers. DNS client resolvers either perform validation of DNS Security (DNSSEC) signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.\r\n\r\n',' SC-2, SC-20, SC-21, SC-24'),(386,'SC-23','System and Communications Protection','Session Authenticity ','P1','High; Moderate','The information system protects the authenticity of communications sessions.\r\n\r\n','This control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.\r\n\r\n',' SC-8, SC-10, SC-11'),(387,'SC-24','System and Communications Protection','Fail in Known State ','P1','High','The information system fails to a known secure state for all failures preserving the maximum amount of state information in failure.\r\n\r\n','Failure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.\r\n\r\n',' CP-2, CP-10, CP-12, SC-7, SC-22'),(388,'SC-28','System and Communications Protection','Protection of Information at Rest ','P1','High; Moderate','The information system protects the confidentiality and integrity of information at rest, as defined in the HHS Standard for Encryption of Computing Devices and Information.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe information system protects the confidentiality and integrity of personally identifiable information (PII).\r\n\r\nSystems defined as CSPs:\r\n\r\nFor CSPs, the information system enforces encryption of the instance (container) image files under the hypervisor:  - Instance (container) image files from virtual server and client deployments must be encrypted in a manner that meets FIPS 140-2 validated requirements.\r\n\r\n','This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBecause of the sensitivity of PII and protected health information (PHI), the confidentiality and integrity of such information must be assured for data at rest.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization. However, using cryptographic protection allows the organization to utilize the “Safe Harbor” provision under the Breach Notification Rule.  If PHI is encrypted pursuant to the Guidance Specifying the Technologies and Methodologies that Render Protected Health Information Unusable, Unreadable, or Indecipherable to Unauthorized Individuals (74 FR 42740), then no breach notification is required following an impermissible use or disclosure of the information.  Therefore, organizations should use cryptographic protections for PHI stored on electronic media.\r\n\r\n',' AC-3, AC-6, CA-7, CM-3, CM-5, CM-6, PE-3, SC-8, SC-13, SI-3, SI-7'),(389,'SC-28(01)','System and Communications Protection','Non-Mandatory: Cryptographic Protection ','P3','','The information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of COSA Sensitive Information as defined in the Risk Management Handbook (RMH), Volume 1, Chapter 10, COSA Risk Management Terms, Definitions, and Acronyms.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nOrganizations must:1. Encrypt data at rest in mobile devices for confidentiality to protect against loss, theft, or compromise;2. Encrypt data stored in network share drives to insure confidentiality;3. Encrypt storage/back-up data where physical protection is either not available, not implemented, or not audited;4. If assurance is not provided by other means, encrypt personally identifiable information (PII) in a database; and5. Encrypt data stored in the cloud—whether the cloud is government or private.\r\n\r\n','Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions. For additional Guidance, see: HHS Standard for Encryption of Computing Devices and Information.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBecause of the sensitivity of PII and PHI, the confidentiality and integrity of such information must be assured for data at rest using encryption technologies if assurance is not provided by other means.Organizations may use file share scanning (e.g., data loss prevention [DLP] technology) to ensure compliance with the requirement to encrypt PII/protected health information (PHI) at rest.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization. However, using cryptographic protection allows the organization to utilize the “Safe Harbor” provision under the Breach Notification Rule.  If PHI is encrypted pursuant to the Guidance Specifying the Technologies and Methodologies that Render Protected Health Information Unusable, Unreadable, or Indecipherable to Unauthorized.\r\n\r\n',' AC-13, AC-19, SC-12'),(390,'SC-32','System and Communications Protection','Non-Mandatory: Information System Partitioning ','P3','','The organization partitions the information system into defined information system components (defined in the applicable system security plan) residing in separate physical domains or environments based on defined circumstances (defined in the applicable system security plan) for physical separation of components.\r\n\r\n','Information system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.\r\n\r\n',' AC-4, SA-8, SC-2, SC-3, SC-7'),(391,'SC-39','System and Communications Protection','Process Isolation ','P1','High; Moderate; Low','The information system maintains a separate execution domain for each executing process.\r\n\r\n','Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.\r\n\r\n',' AC-3, AC-4, AC-6, SA-4, SA-5, SA-8, SC-2, SC-3'),(392,'SC-COSA-01','System and Communications Protection','Electronic Mail ','P2','High; Moderate','Controls must be implemented to protect sensitive information that is sent via email.\r\n\r\n','This control acknowledges the sensitive nature of much of the information COSA handles, especially within email. For guidance and recommended security practices for handling sensitive information via email see NIST SP 800-45 (as amended), Guidelines on Electronic Mail Security.\r\n\r\n',' SI-8'),(393,'SC-COSA-02','System and Communications Protection','Website Usage ','P2','High; Moderate; Low','Websites are operated within the restrictions addressed in OMB directives M-10-22, Guidance for Online Use of Web Measurement and Customization Technologies, M-10-23, Guidance for Agency Use of Third-Party Websites and Applications, M-15-13, Policy to Require Secure Connections across Federal Websites and Web Services, and applicable COSA and HHS directives and instruction.\r\n\r\n','This control monitors the COSA and HHS security programs associated with websites to determine if there are any modified directives and instruction.\r\n\r\n',' '),(394,'SI-01','System and Information Integrity','System and Information Integrity Policy and Procedures ','P1','High; Moderate; Low','The organization: a. Develops, documents, and disseminates to applicable personnel:   1. A system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and   2. Procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and b. Reviews and updates (as necessary) the current:   1. System and information integrity policy at least every three (3) years; and   2. System and information integrity procedures at least every three (3) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPolicies that support protecting the integrity of systems and information are necessary to meet the Privacy Act requirements to protect against any anticipated threats or hazards to the security or integrity of records.\r\n\r\n',' PM-9'),(395,'SI-02','System and Information Integrity','Flaw Remediation ','P1','High; Moderate; Low','The organization: a. Identifies, reports, and corrects information system flaws; b. Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation; c. Installs security-relevant software and firmware updates as directed in Implementation Standard 1; and d. Incorporates flaw remediation into the organizational configuration management process.\r\n\r\n','Organizations identify information systems affected by announced software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, and hot fixes. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow United States Computer Emergency Readiness Team (US-CERT) guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors, including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates are not necessary or practical. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.Operating systems and installed applications, including databases and services, need to be examined.\r\n\r\n',' CA-2, CA-7, CM-3, CM-5, CM-8, IR-4, MA-2, RA-5, SA-10, SA-11, SI-11'),(396,'SI-02(01)','System and Information Integrity','Central Management ','P1','High','The organization centrally manages the flaw remediation process.\r\n\r\n','Central management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' '),(397,'SI-02(02)','System and Information Integrity','Automated Flaw Remediation Status ','P1','High; Moderate','The organization employs automated mechanisms no less often than once every seventy-two (72) hours to determine the state of information system components regarding flaw remediation.\r\n\r\n','None.\r\n\r\n',' CM-6, SI-4'),(398,'SI-02(03)','System and Information Integrity','Non-Mandatory: Time to Remediate Flaws / Benchmarks for Corrective Actions ','P3','','The organization:a. Measures the time between flaw identification and flaw remediation; andb. Corrective actions must be taken within the time periods defined under the SI-2 (Flaw Remediation) Implementation Standards.\r\n\r\n','This control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.\r\n\r\n',' '),(399,'SI-03','System and Information Integrity','Malicious Code Protection ','P1','High; Moderate; Low','The organization: a. Employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code; b. Updates malicious code protection mechanisms whenever new releases are available in accordance with COSA configuration management policy and procedures; andc. Configures malicious code protection mechanisms to:   1. Perform periodic scans of the information system using the frequency specified in Implementation Standard 1 and Implementation Standard 2, and real-time scans of files from external sources at endpoint, and/or network entry/exit points, as the files are downloaded, opened, or executed in accordance with organizational security policy; and   2. Block and quarantine malicious code and send alert to administrator in response to malicious code detection; and d. Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.\r\n\r\n','Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means, including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber-attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards, including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nMalicious code protections are essential in system with PHI because of the sensitivity and desirability of such information.Under the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' CM-3, MP-2, SA-4, SA-8, SA-12, SA-13, SC-7, SC-26, SC-44, SI-2, SI-4, SI-7'),(400,'SI-03(01)','System and Information Integrity','Central Management ','P1','High; Moderate','The organization centrally manages malicious code protection mechanisms.\r\n\r\n','Central management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw, malicious code protection security controls.\r\n\r\n',' AU-2, SI-8'),(401,'SI-03(02)','System and Information Integrity','Automatic Updates ','P1','High; Moderate','The information system automatically updates malicious code protection mechanisms.\r\n\r\n','Malicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations consider the methodology used to carry out automatic updates.\r\n\r\n',' SI-8'),(402,'SI-04','System and Information Integrity','Information System Monitoring ','P1','High; Moderate; Low','The organization: a. Monitors the information system to detect:   1. Attacks and indicators of potential attacks in accordance with the current RMH, Chapter 08: Incident Response; and   2. Unauthorized local, network, and remote connections as defined by (twice High and Moderate or once for Low) weekly; b. Identifies unauthorized use of the information system through defined techniques and methods (defined in the applicable System Security Plan); c. Deploys monitoring devices:   1. Strategically within the information system to collect organization-determined essential information; and   2. At ad hoc locations within the system to track specific types of transactions of interest to the organization. d. Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion; e. Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information; f. Obtains legal opinion about information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and g. Provides defined information system monitoring information (defined in the applicable System Security Plan) to defined personnel or roles (defined in the applicable System Security Plan) as needed, and at defined frequency (defined in the applicable System Security Plan).\r\n\r\n','Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real-time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from DHS can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, HTTP traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIntrusion-monitoring tools may collect personally identifiable information (PII) of all types. Notice to users who are monitored should be provided prior to system use. Controls sufficient to protect the type of PII collected must be in place for the technology performing the monitoring, including encryption of monitoring data that may contain PII. When conducting information system monitoring on internal or external networks which may collect PII, the organization should coordinate with the organization’s counsel and privacy officer.\r\n\r\n',' AC-3, AC-4, AC-8, AC-17, AU-2, AU-6, AU-7, AU-9, AU-12, CA-7, IR-4, PE-3, RA-5, SC-7, SC-26, SC-35, SI-3, SI-7'),(403,'SI-04(01)','System and Information Integrity','Non-Mandatory: System-Wide Intrusion Detection System ','P3','','The organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.\r\n\r\n','See CM-6. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' '),(404,'SI-04(02)','System and Information Integrity','Automated Tools for Real-Time Analysis ','P1','High; Moderate','The organization employs automated tools to support near real-time analysis of events.\r\n\r\n','Automated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or security information and event management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' '),(405,'SI-04(03)','System and Information Integrity','Non-Mandatory: Automated Tool Integration ','P3','','The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.\r\n\r\n','Using automated tools and mechanisms to integrate intrusion detection tools and mechanisms into access and flow control mechanisms facilitates a rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.\r\n\r\n',' '),(406,'SI-04(04)','System and Information Integrity','Inbound and Outbound Communications Traffic ','P1','High; Moderate','The information system monitors inbound and outbound communications traffic at a defined frequency (defined in the applicable System Security Plan) for unusual or unauthorized activities or conditions.\r\n\r\n','Unusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\n',' '),(407,'SI-04(05)','System and Information Integrity','System-Generated Alerts ','P1','High; Moderate','The information system alerts defined personnel or roles (defined in the applicable System Security Plan) when the following indications of compromise or potential compromise occur: a. Presence of malicious code; b. Unauthorized export of information; c. Signaling to an external information system; or d. Potential intrusions.\r\n\r\n','Alerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers. Contact your CRA or the CCIC for the list of compliant formats. All security information and results, complete and unedited, from relevant automated tools must be available to the CCIC upon their request.  The information must be made available in a format, and within a timeframe, to be agreed-upon with the CCIC and consistent with all other safeguards required by the COSA.\r\n\r\nGuidance for systems defined as CSPs:\r\n\r\nAlerts may be generated from a variety of sources, including but not limited to malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers.\r\n\r\n',' AU-5, PE-6'),(408,'SI-04(14)','System and Information Integrity','Non-Mandatory: Wireless Intrusion Detection ','P3','','The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.\r\n\r\n','Wireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.\r\n\r\n',' AC-18, IA-3'),(409,'SI-04(16)','System and Information Integrity','Non-Mandatory: Correlate Monitoring Information ','P3','','The organization correlates information from monitoring tools employed throughout the information system.\r\n\r\n','Correlating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.\r\n\r\n',' AU-6'),(410,'SI-04(23)','System and Information Integrity','Non-Mandatory: Host-Based Devices ','P3','','The organization implements COSA-required host-based monitoring mechanisms on all systems, appliances, devices, services, and applications;  - Devices and appliances that do not support a host-based intrusion detection system/intrusion prevention system (IDS/IPS) sensor capability must be documented in the applicable Information System Risk Assessment and System Security Plan.\r\n\r\n','Information system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.\r\n\r\n',' '),(411,'SI-04(24)','System and Information Integrity','Non-Mandatory: Indicators of Compromise ','P3','','The information system discovers, collects, distributes, and uses indicators of compromise.\r\n\r\n','Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). IOCs provide organizations with valuable information on objects or information systems that have been compromised. IOCs for the discovery of compromised hosts can include for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator (URL) or protocol elements that indicate malware command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.See also: http://www.issa.org/resource/resmgr/journalpdfs/feature0515.pdf\r\n\r\n',' IR-10'),(412,'SI-05','System and Information Integrity','Security Alerts, Advisories, and Directives ','P1','High; Moderate; Low','The organization: a. Receives information system security alerts, advisories, and directives from defined external organizations (including US-CERT and organizations as defined in the applicable System Security Plan) on an ongoing basis; b. Generates internal security alerts, advisories, and directives as deemed necessary; c. Disseminates security alerts, advisories, and directives to: defined personnel or roles (defined in the applicable System Security Plan); and d. Implements security directives in accordance with established time frames or notifies COSA of the degree of noncompliance.\r\n\r\n','The US-CERT generates security alerts and advisories to maintain situational awareness across the Federal Government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nReceiving and acting on security alerts from US-CERT, or other appropriate organizations, assists in protecting PHI by protecting information systems against rapidly evolving threats.Under the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' SI-2'),(413,'SI-05(01)','System and Information Integrity','Automated Alerts and Advisories ','P1','High','The organization employs automated mechanisms to make security alert and advisory information available throughout the organization.\r\n\r\n','The significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk, including the governance level, mission/business process/enterprise architecture level, and the information system level.\r\n\r\n',' '),(414,'SI-06','System and Information Integrity','Security Function Verification ','P1','High','The information system: a. Verifies the correct operation of defined security functions (defined in the applicable System Security Plan); b. Performs this verification upon system startup, restart, and upon command by a user with appropriate privileges no less often than once per month; c. Notifies the system administrators of failed security verification tests; and d. Shuts the information system down, or restarts the information system, or performs some other defined alternative action(s) (defined in the applicable System Security Plan) when anomalies are discovered.\r\n\r\n','Transitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.\r\n\r\n',' CA-7, CM-6'),(415,'SI-06(02)','System and Information Integrity','Non-Mandatory: Automation Support for Distributed Testing ','P3','','The information system implements automated mechanisms to support for the management of distributed security testing.\r\n\r\n','None.\r\n\r\n',' SI-2'),(416,'SI-07','System and Information Integrity','Software, Firmware, and Information Integrity ','P1','High; Moderate','The organization employs integrity verification tools to detect unauthorized changes to software, firmware, and information.\r\n\r\n','Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nDetection of unauthorized changes to sensitive information such as personally identifiable information (PII) and systems containing sensitive information is fundamental to ensuring integrity as required by the Privacy Act\r\n\r\n',' SA-12, SC-8, SC-13, SI-3'),(417,'SI-07(01)','System and Information Integrity','Integrity Checks ','P1','High; Moderate','The information system performs an integrity check of software, firmware, and information daily and at system startup.\r\n\r\n','Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.\r\n\r\n',' '),(418,'SI-07(02)','System and Information Integrity','Automated Notifications of Integrity Violations ','P1','High','The organization employs automated tools that provide notification to defined personnel or roles (defined in the applicable System Security Plan) upon discovering discrepancies during integrity verification.\r\n\r\n','The use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.\r\n\r\n',' '),(419,'SI-07(05)','System and Information Integrity','Automated Response to Integrity Violations ','P1','High','The information system automatically implements one or more of the security safeguards defined in Implementation Standard 1 when integrity violations are discovered. Implemented safeguards must be specified in the applicable System Security Plan.\r\n\r\n','Organizations may define different integrity checking and anomaly responses: (i) By type of information (e.g., firmware, software, user data);(ii) By specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) A combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.\r\n\r\n',' '),(420,'SI-07(06)','System and Information Integrity','Non-Mandatory: Cryptographic Protection','P3','','The information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.FIPS-validated cryptography must be used to detect unauthorized changes to software, firmware, and information.\r\n\r\n','Cryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nDetection of unauthorized changes to sensitive information such as personally identifiable information (PII) and systems containing sensitive information is fundamental to ensuring data integrity. FIPS-validated cryptographic modules are the government standard for integrity verification. When PII requires integrity verification the organization must comply with these standards. \r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization. However, using cryptographic protection allows the organization to utilize the “Safe Harbor” provision under the Breach Notification Rule.  If PHI is encrypted pursuant to the Guidance Specifying the Technologies and Methodologies that Render Protected Health Information Unusable, Unreadable, or Indecipherable to Unauthorized Individuals (45 C.F.R. Part 164 Subpart D), then no breach notification is required following an impermissible use or disclosure of the information. Therefore, organizations should use cryptographic protections for PHI stored on electronic media\r\n\r\n',' SC-13'),(421,'SI-07(07)','System and Information Integrity','Integration of Detection and Response ','P1','High; Moderate','The organization incorporates the detection of defined unauthorized security-relevant changes (defined in the applicable System Security Plan) to the information system into the organizational incident response capability.\r\n\r\n','This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.\r\n\r\n',' IR-4, IR-5, SI-4'),(422,'SI-07(14)','System and Information Integrity','Binary or Machine Executable Code ','P2','High','The organization:a. Prohibits the use of binary or machine executable code from sources with limited or no warranty and without the provision of source code; andb. Provides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.\r\n\r\n','This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.\r\n\r\n',' SA-5'),(423,'SI-08','System and Information Integrity','Spam Protection ','P2','High; Moderate','The organization: a. Employs spam protection mechanisms at information system entry and exit points to detect and act on unsolicited messages; and b. Updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.\r\n\r\n','Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means, including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nHIPAA requires organizations to implement procedures for guarding against, detecting and reporting malicious software which can be introduced to the system through spam.Under the HIPAA Security Rule, this is an addressable implementation specification. HIPAA covered entities must conduct an analysis as described at 45 C.F.R. § 164.306 (Security standards: General rules) part (d) (Implementation specifications) to determine how it must be applied within the organization.\r\n\r\n',' 2, AT-3, SC-5, SC-7, SI-3'),(424,'SI-08(01)','System and Information Integrity','Central Management ','P2','High; Moderate','The organization centrally manages spam protection mechanisms.\r\n\r\n','Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.\r\n\r\n',' AU-3, SI-2, SI-7'),(425,'SI-08(02)','System and Information Integrity','Automatic Updates ','P2','High; Moderate','The information system automatically updates spam protection mechanisms.\r\n\r\n','None.\r\n\r\n',' '),(426,'SI-10','System and Information Integrity','Information Input Validation ','P1','High; Moderate','The information system checks the validity of defined information inputs (defined in the applicable System Security Plan) for accuracy, completeness, validity, and authenticity as close to the point of origin as possible.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe information system checks the validity of personally identifiable information (PII).\r\n\r\n','Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nInformation input validation serves two important purposes for protecting PII:  (1) When PII is entered, validation techniques support data quality measures (e.g., ensuring the PII entered is the expected type and format of data); and  (2) It provides the capability to limit or exclude PII from being entered within a field (e.g., recognizing a restricted format, such as an SSN) that should not contain the PII.\r\n\r\n',' '),(427,'SI-11','System and Information Integrity','Error Handling ','P2','High; Moderate','The information system: a. Generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and b. Reveals error messages only to defined personnel or roles (defined in the applicable System Security Plan).\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe information system reveals error messages only to authorized individuals with a need for the information in the performance of their duties.\r\n\r\n','Organizations carefully consider the structure/content of error messages. The extent to which information systems can identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, Social Security Numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAn error in a system may reveal sensitive information such as personally identifiable information (PIIP or protected health information (PHI). For example, if there is an error posting a form that contains PII and the system includes the PII entered in the form when it writes to the error log, it will be visible to whoever has access permissions to the error log. Therefore, error handling must be considered in design of the system, and access to errors containing leaked sensitive information should be provided only to those individuals with a need for that information in the performance of their duties.\r\n\r\n',' AU-2, AU-3, SI-2'),(428,'SI-12','System and Information Integrity','Information Handling and Retention ','P2','High; Moderate; Low','The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nFor personally identifiable information (PII) maintained in a Privacy Act system of records, the corresponding record management requirements, including retention periods, must be addressed in the system of records notice (SORN).\r\n\r\n','Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. NARA provides guidance on records retention.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSensitive information such as PII, even if not considered a “record” by statute, should be handled and retained in accordance with applicable regulatory requirements, organizational policies, industry best practices, and the Fair Information Practice Principles (FIPP). Retention and handling of PII that meets the definition of a “record” as defined by the Federal Records Act (44 U.S.C. §3301) should be addressed in a records disposition schedule. For PII that meets the definition of a “record” as defined by the Privacy Act for purposes of providing notice, the associated SORN should reflect the retention period from the organization’s applicable record retention schedule. Protected health information (PHI) must be handled and retained in accordance with the HIPAA Security Rule as it has specific requirements for information handling and record retention.\r\n\r\n',' AC-16, AU-5, AU-11, MP-2, MP-4, AP-2, DM-2, TR-2'),(429,'SI-16','System and Information Integrity','Memory Protection ','P1','High; Moderate','The information system implements security safeguards (e.g., data execution prevention, address space layout randomization) to protect its memory from unauthorized code execution. Implemented safeguards must be specified in the applicable system security plan.\r\n\r\n','Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.\r\n\r\n',' AC-25, SC-3'),(430,'PM-01','Program Management','Information Security Program Plan ','P1','High; Moderate; Low','The organization: a. Develops and disseminates an organization-wide information security program plan that:   1. Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;   2. Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;   3. Reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and   4. Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation. b. Reviews the organization-wide information security program plan within every three hundred sixty-five (365) days; c. Updates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and d. Protects the information security program plan from unauthorized disclosure and modification.\r\n\r\n','Information security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended.The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization’s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls.Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with an information system but instead, support multiple information systems.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization’s approach to protection of personally identifiable information (PII) should be included in the information security program plan, including defining roles and responsibilities for protecting PII.\r\n\r\n',' PM-8, AR-1'),(431,'PM-02','Program Management','Senior Information Security Officer ','P1','High; Moderate; Low','The organization appoints a Chief Information Security Officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.\r\n\r\n','The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nAssigning security responsibilities to a senior official supports the HIPAA Security Rule.\r\n\r\n',' AR-1'),(432,'PM-03','Program Management','Information Security Resources ','P1','High; Moderate; Low','The organization: a. Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement; b. Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and c. Ensures that information security resources are available for expenditure as planned.\r\n\r\n','Organizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nEnsuring that information security is adequately resourced supports the implementation of all security-related privacy requirements.\r\n\r\n',' PM-4, SA-2'),(433,'PM-04','Program Management','Plan of Action and Milestones Process ','P1','High; Moderate; Low','The organization: a. Implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:  1. Are developed and maintained;  2. Document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and 3. Are reported in accordance with OMB FISMA reporting requirements and other applicable requirements, such as those within the FedRAMP.b. Reviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.\r\n\r\n','The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.\r\n\r\n',' CA-5'),(434,'PM-05','Program Management','Information System Inventory ','P1','High; Moderate; Low','The organization develops and maintains an inventory of its information systems, to include those operated on behalf of COSA (e.g., by a contractor, vendor, cloud service provider, or other service provider).\r\n\r\n','This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.OMB Circular NO A-130 Appendix IIIThe term “information system” means a discrete set of information resources organized for the collection, processing, maintenance, transmission, and dissemination of information, in accordance with defined procedures, whether automated or manual.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nMaintaining a current information system inventory supports privacy by informing personally identifiable information (PII) inventories, data flows, and generally assists in monitoring the maintenance and use of PII.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nInformation system inventory should govern the receipt and removal of hardware and electronic media that contains PHI.\r\n\r\n',' SE-1'),(435,'PM-06','Program Management','Information Security Measures of Performance ','P1','High; Moderate; Low','The organization develops, monitors, and reports on the results of information security measures of performance to evaluate the effectiveness of IT security and privacy policies, procedures, and controls. The measures and metrics must provide information on measures of implementation, efficiency, effectiveness, and impact.\r\n\r\n','Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.\r\n\r\n',' '),(436,'PM-07','Program Management','Enterprise Architecture ','P1','High; Moderate; Low','The organization develops and implements an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.\r\n\r\n','The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture (FEA). The integration of information security requirements and associated security controls into the organization’s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization’s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system, but at the same time is consistent with the information security architecture defined for the organization. Security requirements and security control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nReference the FEA Security and Privacy Profile for additional information.\r\n\r\n',' PL-2, PL-8, PM-11, RA-2, SA-3, AR-7'),(437,'PM-08','Program Management','Critical Infrastructure Plan ','P1','High; Moderate; Low','The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.\r\n\r\n','Protection strategies are based on the prioritization of critical assets and resources. The requirements and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\r\n\r\n',' PM-1, PM-9, PM-11, RA-3'),(438,'PM-09','Program Management','Risk Management Strategy ','P1','High; Moderate; Low','The organization: a. Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems; b. Implements the risk management strategy consistently across the organization; and c. Reviews and updates the risk management strategy at least every three hundred and sixty-five (365) days or as required, to address organizational changes.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe risk management strategy must include a process to evaluate and address privacy risks for individuals and information (data) such as risk to individual, risk to the system, risk to the organization, and risk to the enterprise. In addition to business risks that arise out of privacy violations, such as reputation or liability risks, organizational policies should also focus on minimizing the risk of harm to individuals.\r\n\r\n','An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organization’s risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nA comprehensive risk management strategy includes privacy as an input where appropriate to ensure privacy risks to individuals and organizations are identified, prioritized, and managed consistently across the organization’s business processes, programs, and systems.\r\n\r\n',' RA-3'),(439,'PM-10','Program Management','Security Authorization Process ','P1','High; Moderate; Low','The organization: a. Manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes; b. Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and c. Fully integrates the security authorization processes into an organization-wide risk management program.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization’s security authorization process must ensure privacy safeguards and privacy documentation requirements, such as privacy impact assessments (PIA) and systems of records notices (SORN) when applicable, have been appropriately addressed prior to any security authorization.\r\n\r\n','Security authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe security authorization process provides a means for evaluating whether a system/process has met given privacy safeguards and documentation requirements.\r\n\r\n',' CA-6, AR-2, AR-7, TR-1, TR-2'),(440,'PM-11','Program Management','Mission/Business Process Definition ','P1','High; Moderate; Low','The organization: a. Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and b. Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen defining mission/business processes for information security and identifying resulting risks, the organization must address the privacy risks stemming from those processes.\r\n\r\n','Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization’s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIn addition to business risks that arise out of privacy violations, such as reputation or liability risks, organizational policies should also focus on minimizing the risk of harm to individuals.\r\n\r\n',' PM-7, PM-8, RA-2, AR-2'),(441,'PM-12','Program Management','Insider Threat Program ','P1','High; Moderate; Low','The organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen defining the requirements for and designing an organization’s insider threat program, the insider threat team must engage the participation, and obtain concurrence, of the organization’s Privacy Officer prior to implementation. For existing insider threat programs, conduct a review of the program with the organization’s Privacy Officer to ensure program meets applicable privacy requirements.\r\n\r\n','Organizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture.Insider threat programs can leverage the existence of incident handling teams that organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe privacy risks inherent with aggregating sensitive personally identifiable information (PII) from multiple data resources within an organization, such as human resource and background investigation information, and the potential for scope creep require the active participation, review, and concurrence of the Privacy Officer.\r\n\r\n',' AC-6, AT-2, AU-6, AU-7, AU-10, AU-12, AU-13, CA-7, IA-4, IR-4, MP-7, PE-2, PM-1, PM-14, PS-3, PS-4, PS-5, PS-8, SC-7, SC-38, SI-4'),(442,'PM-13','Program Management','Information Security Workforce ','P1','High; Moderate; Low','The organization establishes an information security workforce development and improvement program.\r\n\r\n','Information security workforce development and improvement programs include, for example:  (i) Defining the knowledge and skill levels needed to perform information security duties and tasks;  (ii) Developing role-based training programs for individuals assigned information security roles and responsibilities; and  (iii) Providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage:   a. Information security professionals to advance in the field and fill positions with greater responsibility; and   b. Organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTo implement adequate security controls, the organization’s information security and privacy workforce should be knowledgeable of the applicable privacy and security requirements commensurate with the level of access or responsibility for applying appropriate safeguards. The information security workforce should receive role-based training for the privacy requirements commensurate with the level of access or responsibility for applying safeguards to personally identifiable information (PII).\r\n\r\n',' AT-2, AT-3'),(443,'PM-14','Program Management','Testing, Training, and Monitoring ','P1','High; Moderate; Low','The organization: a. Implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:   1. Are developed and maintained; and   2. Continue to be executed in a timely manner. b. Reviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.\r\n\r\nSystems processing, storing, or transmitting PII (to include PHI):\r\n\r\nReviews testing, training and monitoring plans for consistency with the organizational privacy risk management strategy.\r\n\r\n','This control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIt is critical to integrate privacy risk management, compliance monitoring, and testing into the organizational risk management strategy and the associated testing and training requirements otherwise an important aspect of privacy may be overlooked.\r\n\r\n',' AT-3, CA-7, CP-4, IR-3, SI-4, AR-4, AR-5, DM-3, SE-2'),(444,'PM-15','Program Management','Contacts with Security Groups and Associations ','P3','High; Moderate; Low','The organization establishes and institutionalizes contact with selected groups and associations within the security community: a. To facilitate ongoing security education and training for organizational personnel; b. To maintain currency with recommended security practices, techniques, and technologies; and c. To share current security-related information including threats, vulnerabilities, and incidents.\r\n\r\n','Ongoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\r\n\r\n',' SI-5, AR-1'),(445,'PM-16','Program Management','Threat Awareness Program ','P1','High; Moderate; Low','The organization implements a threat awareness program that includes a cross-organization information-sharing capability\r\n\r\n','Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, and threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.\r\n\r\n',' IR-10, PM-12'),(446,'AP-01','Authority and Purpose','Authority to Collect ','P1','','Systems processing, storing, or transmitting PII (to include PHI):\n\nThe organization determines and documents the legal authority that permits the collection, use, maintenance, and sharing of PII, either generally or in support of specific programs and the needs of information systems.\n\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\n\nAn organization identifies the legal authority permitting collection. Additional measures, including design choices, ensure the information system collecting, using, maintaining, or disseminating PII complies with those authorities permitting the collection.Before collecting PII, the organization determines whether the contemplated collection of PII is legally authorized. Program officials consult with the Senior Official for Privacy (SOP), and legal counsel regarding the authority of any program or activity to collect PII. The authority to collect PII is documented in the System of Records Notice (SORN), Privacy Impact Assessment (PIA), and/or other applicable documentation such as Privacy Act Statements, Notices of Privacy Practices, Website Privacy Policies, or Computer Matching Agreements.Ensure PII collected, used, maintained, or disseminated by the information system is related to, and compatible with, the purpose and scope of the authority described in the information system documentation, including privacy documentation such as a SORN or PIA when applicable.\n\n',' AR-2, DM-1, TR-1, TR-2'),(447,'AP-02','Authority and Purpose','Purpose Specification ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization, at the system or application level, describes the purpose(s) for which PII is collected, used, maintained, and shared in privacy compliance documentation, privacy notices, and privacy policies (e.g., PIAs, SORNs, Privacy Act Statements, and Computer Matching Agreements [CMAs]).\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAn organization identifies the authorized purpose(s) for collection, use, maintenance, or dissemination of PII. Additional measures, including, but not limited to, design choices and auditing, ensure the information system collecting, using, maintaining, or disseminating PII complies with those authorized purposes.Often, statutory language expressly authorizes specific collections and uses of PII. When statutory language is written broadly and thus subject to interpretation, organizations ensure, in consultation with the Senior Official for Privacy (SOP) and legal counsel, that there is a close nexus between the general authorization and any specific collection of PII. Once the specific purposes have been identified, the purposes are clearly described in the related privacy compliance documentation, including but not limited to PIAs, SORNs, and Privacy Act Statements provided at the time of collection (e.g., on forms organizations use to collect PII). Further, to avoid unauthorized collections or uses of PII, personnel who handle PII receive training on the organizational authorities for collecting PII, authorized uses of PII, and on the contents of the notice.Ensure the PII collected, used, maintained, or disseminated by the information system adheres to the specific purpose(s) described in the information system documentation, including privacy documentation such as a SORN or PIA when applicable.\r\n\r\n',' AR-2, AR-4, AR-5, DM-1, DM-2, TR-1, TR-2, UL-1, UL-2'),(448,'AP-COSA-01','Authority and Purpose','Non-Mandatory: Authority and Purpose Control Family Policy and Procedures','P3','','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. An Authority and Purpose policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the Authority and Purpose policy and associated Authority and Purpose controls; and b. Reviews and updates (as necessary) the current:    1.  Authority and Purpose policy at least every two (2) years; and    2.  Authority and Purpose procedures at least every two (2) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security and privacy policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' AR-1'),(449,'AR-01','Accountability, Audit, and Risk Management','Governance and Privacy Program ','P1','High; Moderate; Low','The organization: a. Appoints a Senior Official for Privacy (SOP) accountable for developing, implementing, and maintaining an organization-wide governance and privacy program to ensure compliance with all applicable laws and regulations regarding the collection, use, maintenance, sharing, and disposal of PII by programs and information systems;b. Monitors federal privacy laws and policy for changes that affect the privacy program; c. Allocates an appropriate allocation of budget and staffing resources to implement and operate the organization-wide privacy program; d. Develops a strategic organizational privacy plan for implementing applicable privacy controls, policies, and procedures; e. Develops, disseminates, and implements operational privacy policies and procedures that govern the appropriate privacy and security controls for programs, information systems, or technologies involving PII; and f. Updates privacy plan, policies, and procedures, as required to address changing requirements, but no less often than every two years.\r\n\r\n','Effective implementation of privacy and security controls requires a collaborative partnering of the SAOP (or Chief Privacy Officer [CPO]), CIO, and CISO. To maximize organizational compliance with privacy requirements and best practices, the organization should ensure its privacy professionals engage with both its security community and the Federal privacy community to remain current and to share lessons-learned or other privacy-related information.The development and implementation of a comprehensive governance and privacy program demonstrates organizational accountability for and commitment to the protection of individual privacy. Accountability begins with the appointment of a SOP with the authority, mission, resources, and responsibility to develop and implement a multifaceted privacy program. The SOP, in consultation with legal counsel, information security officials, and others as appropriate: (i) ensures the development, implementation, and enforcement of privacy policies and procedures; (ii) defines roles and responsibilities for protecting PII; (iii) determines the level of information sensitivity with regard to PII holdings; (iv) identifies the laws, regulations, and internal policies that apply to the PII; (v) monitors privacy best practices; and (vi) monitors/audits compliance with identified privacy controls.To further accountability, the SOP develops privacy plans to document the privacy requirements of organizations and the privacy and security controls in place or planned for meeting those requirements. The plan serves as evidence of organizational privacy operations and supports resource requests by the SOP. A single plan or multiple plans may be necessary depending upon the organizational structures, requirements, and resources, and the plan(s) may vary in comprehensiveness. For example, a one-page privacy plan may cover privacy policies, documentation, and controls already in place, such as Privacy Impact Assessments (PIA) and System of Records Notices (SORN). A comprehensive plan may include a baseline of privacy controls selected from this appendix and include: (i) processes for conducting privacy risk assessments; (ii) templates and guidance for completing PIAs and SORNs; (iii) privacy training and awareness requirements; (iv) requirements for contractors processing PII; (v) plans for eliminating unnecessary PII holdings; and (vi) a framework for measuring annual performance goals and objectives for implementing identified privacy controls.Ongoing contact with privacy groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Privacy groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of privacy professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nHIPAA requires policies, procedures, and personnel designations to be documented and for organizations to monitor changes in law.\r\n\r\n',' AP-COSA-01, AR-COSA-01, DI-COSA-01, DM-COSA-01, IP-COSA-01, TR-COSA-01, UL-COSA-01, PM-15'),(450,'AR-02','Accountability, Audit, and Risk Management','Privacy Impact and Risk Assessment ','P1','High; Moderate; Low','The organization: a. Documents and implements a privacy risk management process that assesses privacy risk to individuals resulting from the collection, sharing, storing, transmitting, use, and disposal of PII;  b. Conducts PIAs for information systems, programs, electronic information collections, or other activities that pose a privacy risk in accordance with applicable law, OMB policy, or any existing organizational policies and procedures; andc. Reviews the PIA no less than every three (3) years and publishes the PIA in accordance with HHS guidance.\r\n\r\n','Effective implementation of privacy risk management processes requires both organizational and information system processes across the life cycle of the organization’s mission, business processes, and information systems. Privacy Impact Assessments (PIAs) are structured reviews (qualitative and quantitative) of both the risk and effect of how information is handled and maintained as well as the potential impacts or harms to individuals and organizations for loss of control or mishandling of the PII. The term “PIA” may refer to the process of conducting such an assessment, or the document produced as a result of that assessment. A PIA-like process benefits an organization and the individuals whose PII is in the information system by enabling the organization to identify, evaluate, and manage the privacy risks for the PII in that system.Organizational privacy risk management processes operate across the life cycles of all mission/business processes that collect, use, maintain, share, or dispose of PII. The tools and processes for managing risk are specific to organizational missions and resources. Such tools include, but are not limited to, conducting PIAs. OMB Memorandum 03-22 provides guidance to organizations for implementing the privacy provisions of the E-Government Act of 2002, including guidance on the timing for developing PIAs for information systems and electronic collections of information. Some organizations may be required by law or policy to extend the PIA requirement to other activities involving PII or otherwise impacting privacy (e.g., programs, projects, or regulations). PIAs are conducted to identify privacy risks and identify methods to mitigate those risks. PIAs are also conducted to ensure that programs or information systems comply with legal, regulatory, and policy requirements. PIAs also serve as notice to the public of privacy practices. PIAs are performed before developing or procuring information systems, or initiating programs or projects, that collect, use, maintain, or share PII and are updated when changes create new privacy risks.Information system privacy risk management processes operate across the life cycle of an information system collecting, using, maintaining, and/or disseminating PII. Such privacy risk management processes include, but are not limited to, design requirements, privacy threshold analysis, privacy impact assessments (PIA), and implementation of secure disposition. While Section 208 of the E-Government Act does not require — or prohibit — a PIA for a national security system (NSS), as defined at 40 U.S.C. §11103 (see Section 202(i) of the E-Government Act), an organization may benefit from conducting a PIA or similar privacy risk evaluation on NSS as part of their internal risk management process to ensure privacy risks are identified, evaluated, and managed in information systems containing PII. For this reason, the COSA extends the requirement to develop a PIA to all information systems.\r\n\r\n',' RA-3'),(451,'AR-03','Accountability, Audit, and Risk Management','Privacy Requirements for Contractors and Service Providers ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Establishes privacy roles, responsibilities, and access requirements for contractors and service providers; b. Includes privacy requirements in contracts and other acquisition-related documents; andc. Reviews, every two (2) years, a random sample of agency contracts that provide for the maintenance of a system of records on behalf of the agency to accomplish an agency function, to ensure that the contracts include clauses that make all requirements of the Privacy Act apply to the system and that make the criminal penalty provisions of the Privacy Act apply to the contractor or service provider and its personnel.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nContracts and other acquisition-related documents provide an enforceable means to ensure privacy and security controls are provided for PII shared with or disclosed to recipients outside of the organization, such that contractors and service providers protect PII in the same way the organization does.Contractors and service providers include, but are not limited to, information providers, information processors, and other organizations providing information system development, information technology services, and other outsourced applications. Organizations consult with legal counsel, the Senior Official for Privacy (SOP), and contracting officers about applicable laws, directives, policies, or regulations that may impact implementation of this control.\r\n\r\n',' AR-1, AR-5, SA-4'),(452,'AR-04','Accountability, Audit, and Risk Management','Privacy Monitoring and Auditing ','P1','High; Moderate; Low','The organization a. Monitors and audits privacy controls no less often than once every 365 days to ensure effective implementation; andb. Monitors for changes to applicable privacy laws, regulations, and policy affecting internal privacy policy no less often than once every 365 days to ensure internal privacy policy remains effective; andc. Documents, tracks, and ensures mitigation of corrective actions identified through monitoring or auditing.\r\n\r\n','Monitoring and auditing activities ensure privacy controls are implemented and operating effectively.To promote accountability, organizations identify and address gaps in privacy compliance, management, operational, and technical controls by conducting regular assessments (e.g., internal risk assessments). These assessments can be self-assessments or third-party audits that result in reports on compliance gaps identified in programs, projects, and information systems. In addition to auditing for effective implementation of all privacy controls identified in [800-53 Appendix J], organizations assess whether they: (i) implement a process to embed privacy considerations into the life cycle of personally identifiable information (PII), programs, information systems, mission/business processes, and technology; (ii) monitor for changes to applicable privacy laws, regulations, and policies; (iii) track programs, information systems, and applications that collect and maintain PII to ensure compliance; (iv) ensure that access to PII is only on a need-to-know basis; and (v) ensure that PII is being maintained and used only for the legally authorized purposes identified in the public notice(s).Organizations also: (i) implement technology to audit for the security, appropriate use, and loss of PII; (ii) perform reviews to ensure physical security of documents containing PII; (iii) assess contractor compliance with privacy requirements; and (iv) ensure that corrective actions identified as part of the assessment process are tracked and monitored until audit findings are corrected. The Senior Official for Privacy (SOP) coordinates monitoring and auditing efforts with information security officials and ensures that the results are provided to senior managers and oversight officials.Where security and privacy controls align, to achieve the most efficient and effective implementation, the COSA SOP/CPO and CIO or CISO should coordinate to develop a single organizational process to conduct audit and monitoring.\r\n\r\n',' AR-6, AR-7, AU-1, AU-2, AU-3, AU-6, AU-12, CA-7, TR-1, UL-2'),(453,'AR-05','Accountability, Audit, and Risk Management','Privacy Awareness and Training ','P1','High; Moderate; Low','The organization: a. Develops, implements, and updates a comprehensive privacy training and awareness strategy aimed at ensuring that personnel understand privacy responsibilities and procedures; b. Administers basic privacy training no less often than once every three hundred sixty-five (365) days, and targeted, role-based privacy training for personnel having responsibility for PII or for activities that involve PII no less often than once every three hundred sixty-five (365) days; and c. Ensures that personnel certify (manually or electronically) acceptance of responsibilities for privacy requirements no less often than once every three hundred sixty-five (365) days.\r\n\r\n','Privacy Training is an effective means to reduce privacy risk for an organization and is mandated by the Privacy Act of 1974, as amended, and OMB M-17-12.Through implementation of a privacy training and awareness strategy, the organization promotes a culture of privacy. Privacy training and awareness programs typically focus on broad topics, such as responsibilities under the Privacy Act of 1974 and E-Government Act of 2002 and the consequences of failing to carry out those responsibilities, how to identify new privacy risks, how to mitigate privacy risks, and how and when to report privacy incidents. Privacy training may also target data collection and use requirements identified in public notices, such as Privacy Impact Assessments (PIA) or System of Records Notices (SORN) for a program or information system. Specific training methods may include: (i) mandatory annual privacy awareness training; (ii) targeted, role-based training; (iii) internal privacy program websites; (iv) manuals, guides, and handbooks; (v) slide presentations; (vi) events (e.g., privacy awareness week, privacy clean-up day); (vii) posters and brochures; and (viii) email messages to all employees and contractors. Organizations update training based on changing statutory, regulatory, mission, program, business process, and information system requirements, or on the results of compliance monitoring and auditing. Where appropriate, organizations may provide privacy training as part of existing information security training.Privacy training may be integrated with general IA training. Examples of jobs or roles that would require job-specific privacy and security training include: human resource personnel who have greater access to PII; system developers who design, develop and implement information systems containing PII; and system administrators who operate and maintain information systems containing PII. \r\n\r\n',' AR-3, AT-2, AT-3, TR-1'),(454,'AR-06','Accountability, Audit, and Risk Management','Privacy Reporting ','P1','High; Moderate; Low','The organization develops, disseminates, and updates reports to OMB, Congress, and other oversight bodies, as appropriate, to demonstrate accountability with specific statutory and regulatory privacy program mandates and to senior management and other personnel with responsibility for monitoring privacy program progress and compliance.\r\n\r\n','Privacy reporting helps organizations to determine progress in meeting privacy compliance requirements and to ensure organizational accountability.Through internal and external privacy reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting also helps organizations determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the Federal Government, identify vulnerabilities and gaps in policy and implementation, and identify success models. Types of privacy reports include: (i) annual Senior Official for Privacy (SOP) reports to OMB; (ii) reports to Congress required by the Implementing Regulations of the 9/11 Commission Act; or (iii) other public reports required by specific statutory mandates or internal policies of organizations. The SOP consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nHIPAA covered entities have specific reporting requirements to the Secretary, Health and Human Services.\r\n\r\n',' '),(455,'AR-07','Accountability, Audit, and Risk Management','Privacy-Enhanced System Design and Development ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization designs information systems to support privacy by automating privacy controls to the extent feasible, integrating and meeting privacy requirements throughout the COSA Life Cycle, and incorporating privacy concerns into reviews of significant changes to HHS/COSA systems, networks, physical environments, and other agency infrastructures.  The organization also conducts periodic reviews of systems to determine the need for updates to maintain compliance with the Privacy Act, the organization’s privacy policy, and any other legal or regulatory requirements.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAutomating privacy controls provides a concrete way of ensuring information systems are behaving in a way that is intended to achieve privacy objectives. Implementation of this control enables organizations to automate application of privacy controls. One simple example, which many organizations have already implemented, is TR-1, “Privacy Notice.” This concept is one part of the most commonly recognized approaches to “building privacy in,” which is sometimes also known as “Privacy by Design.” Privacy by Design is an internationally accepted privacy best practice endorsed by the Federal Trade Commission in their March 2012 Final Report, “Protecting Consumer Privacy in an Era of Rapid Change: Recommendations for Businesses and Policymakers,” and embodies the same principles of the Privacy Act and Section 208 of the E-Government Act requiring privacy protections and safeguards before establishing or operating a system that may contain PII. Privacy by Design calls for considering privacy risks in the design and management of information systems. In addition to building in security and privacy controls discussed throughout the COSA, this control considers additional privacy-specific system characteristics and controls that must be built into the system to address privacy risks.To the extent feasible, when designing organizational information systems, organizations employ technologies and system capabilities that automate privacy controls on the collection, use, retention, and disclosure of personally identifiable information (PII). By building privacy controls into system design and development, organizations mitigate privacy risks to PII, thereby reducing the likelihood of information system breaches and other privacy-related incidents. Organizations also conduct periodic reviews of systems to determine the need for updates to maintain compliance with the Privacy Act and the organization’s privacy policy. Regardless of whether automated privacy controls are employed, organizations regularly monitor information system use and sharing of PII to ensure that the use/sharing is consistent with the authorized purposes identified in the Privacy Act and/or in the public notice of organizations, or in a manner compatible with those purposes.Additional guidance on privacy-enhanced design and development may be found in the HHS Enterprise Performance Lifecycle (EPLC). Regardless of the systems engineering lifecycle used, privacy requirements should be considered during system design and development and validated and verified along with other system requirements. Validation ensures the correct requirements were identified. Verification ensures the requirements were implemented correctly.\r\n\r\n',' AC-6, AR-4, AR-5, DM-2, TR-1, SA-3, SA-8'),(456,'AR-08','Accountability, Audit, and Risk Management','Accounting of Disclosures ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Keeps an accurate accounting of disclosures of information held in each system of records under its control, including:    (1) Date, nature, and purpose of each disclosure of a record; and    (2) Name and address of the person or agency to which the disclosure was made. b. Retains the accounting of disclosures for the life of the record or five (5) years after the disclosure is made, whichever is longer; and c. Makes the accounting of disclosures available to the person named in the record upon request.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBoth the Privacy Act and HIPAA require accountings of disclosures in certain circumstances. There are differences in the requirements to account for disclosures under the Privacy Act and under HIPAA.The Senior Official for Privacy (SOP), periodically consults with managers of their organization’s systems of records to ensure that the required accountings of disclosures of records are being properly maintained and provided to persons named in those records consistent with the dictates of the Privacy Act. Organizations are not required to keep an accounting of disclosures when the disclosures are made to individuals with a need to know, are made pursuant to the Freedom of Information Act, or are made to a law enforcement agency pursuant to 5 U.S.C. §552a(c)(3). Heads of agencies can promulgate rules to exempt certain systems of records from the requirement to provide the accounting of disclosures to individuals.\r\n\r\nGuidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nHIPAA covered entities have specific accountings of disclosure requirements. An accounting of disclosure documents the disclosures of PHI made by the organization to third parties. Not all disclosures are required to be reported. For specific accounting disclosure requirements see 45 C.F.R. §164.528.\r\n\r\n',' IP-2'),(457,'AR-COSA-01','Accountability, Audit, and Risk Management','Non-Mandatory: Accountability, Audit, and Risk Management Control Family Policy and Procedures ','P3','','The organization: a. Develops, documents, and disseminates to applicable personnel: 1. An Accountability, Audit, and Risk Management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the Accountability, Audit, and Risk Management policy and associated Accountability, Audit, and Risk Management controls. b. Reviews and updates (as necessary) the current:  1. Accountability, Audit, and Risk Management policy at least every two (2) years or when there has been a significant change in applicable privacy laws, regulations, and policy affecting internal privacy policy; and 2. Accountability, Audit, and Risk Management procedures at least every two (2) years or when there has been a significant change in applicable privacy laws, regulations, and policy affecting internal privacy policy.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security and privacy policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' AR-1'),(458,'DI-01','Data Quality and Integrity','Data Quality ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Confirms to the greatest extent practicable upon collection or creation of PII, the accuracy, relevance, timeliness, and completeness of that information; b. Collects PII directly from the individual to the greatest extent practicable; c. Checks for, and corrects as necessary, any inaccurate or outdated PII used by its programs or systems no less often than once every 365 days or as directed by the Data Integrity Board; and d. Issues guidelines ensuring and maximizing the quality, utility, objectivity, and integrity of disseminated information.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen a record is used to make determinations related to a right, benefit, or privilege for an individual, the Privacy Act of 1974, as amended, requires the information used be accurate, relevant, timely, and complete to assure fairness to the individual in the determination. Agencies should ensure the quality of all its PII, even if it is not protected by the Privacy Act. Organization’s data quality assurance process should be commensurate with the impact to an individual’s rights, benefits, or privileges as determined by the system owner in consultation with the organization’s privacy office.Organizations take reasonable steps to confirm the accuracy and relevance of PII. Such steps may include, for example, editing and validating addresses as they are collected or entered into information systems using automated address verification look-up application programming interfaces (API). The types of measures taken to protect data quality are based on the nature and context of the PII, how it is to be used, and how it was obtained. Measures taken to validate the accuracy of PII that is used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than those used to validate less sensitive PII. Additional steps may be necessary to validate PII that is obtained from sources other than individuals or the authorized representatives of individuals.When PII is of a sufficiently sensitive nature (e.g., a patient’s health data), organizations incorporate mechanisms into information systems and develop corresponding procedures for how frequently, and by what method, the information is to be updated.When PII is of a sufficiently sensitive nature (such as, but not limited to, when it is used for annual reconfirmation of a taxpayer’s income for a recurring benefit or adjudication of an employee’s clearance), organizations should incorporate mechanisms into information systems and develop corresponding procedures for how frequently, and by what method, the information is to be confirmed accurate, relevant, timely, and complete. Frequency of confirmation should be commensurate with the impact to an individual’s rights, benefits, or privileges as determined by the system owner in consultation with the organization’s privacy office.\r\n\r\n',' AP-2, DI-2, DM-1, IP-3, SI-10'),(459,'DI-01(01)','Data Quality and Integrity','Validate PII ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization requests that the individual or individual’s authorized representative validate PII during the collection process.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nValidating PII that is used to determine a right, benefit, or privilege for an individual ensures the determination is based on accurate, timely, and relevant information. Procedures for validating PII should be commensurate with the impact to an individual’s rights, benefits, or privileges as determined by the system owner in consultation with the organization’s privacy office.When PII is of a sufficiently sensitive nature (such as, but not limited to, when it is used for annual reconfirmation of a taxpayer’s income for a recurring benefit or adjudication of an employee’s clearance), organizations incorporate mechanisms into information systems and develop corresponding procedures and methods to validate the PII is accurate, relevant, timely, and complete.\r\n\r\n',' '),(460,'DI-01(02)','Data Quality and Integrity','Re-Validate PII ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization requests that the individual or individual’s authorized representative revalidate that PII collected is still accurate no less often than once every 365 days or as directed by the Data Integrity Board.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nRe-validation of PII used to determine a right, benefit, or privilege for an individual, is necessary to ensure the determination is based on the most accurate, timely, and relevant information. Frequency of revalidation should be commensurate with the impact to an individual\'s rights, benefits, or privileges as determined by the system owner in consultation with the organization\'s privacy office.\r\n\r\n',' '),(461,'DI-02','Data Quality and Integrity','Data Integrity and Data Integrity Board ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Documents processes to ensure the integrity of personally identifiable information (PII) through existing security controls; and b. Establishes a Data Integrity Board(DIB) when appropriate to oversee organizational CMA and to ensure that those agreements comply with the computer matching provisions of the Privacy Act.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nOrganizations conducting or participating in CMAs with other organizations regarding applicants for and recipients of financial assistance or payments under federal benefit programs or regarding certain computerized comparisons involving federal personnel or payroll records establish a Data Integrity Board to oversee and coordinate their implementation of such matching agreements. COSA coordinates with the HHS Data Integrity Board. The Data Integrity Board ensures that controls are in place to maintain both the quality and the integrity of data shared under CMAs.\r\n\r\n',' AC-1, AC-3, AC-4, AC-6, AC-17, AC-22, AU-2, AU-3, AU-6, AU-10, AU-11, DI-1, SC-8, SC-28, UL-2'),(462,'DI-02(01)','Data Quality and Integrity','Publish Agreements on Website ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization publishes CMAs on its public website.\r\n\r\n','None.\r\n\r\n',' '),(463,'DI-COSA-01','Data Quality and Integrity','Non-Mandatory: Data Quality and Integrity Control Family Policy and Procedures ','P3','','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. Data Quality and Integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the Data Quality and Integrity policy and associated Data Quality and Integrity controls; and b. Reviews and updates (as necessary) the current:    1. Data Quality and Integrity policy within every two (2) years; and    2. Data Quality and Integrity procedures within every two (2) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the DI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security and privacy policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' AR-1'),(464,'DM-01','Data Minimization and Retention','Minimization of Personally Identifiable Information ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Identifies the minimum PII elements that are relevant and necessary to accomplish the purpose of collection (and where a collection of certain PII requires legal authorization, HHS/COSA must ensure that such collection is legally authorized); b. Limits the collection and retention of PII to the minimum elements identified in the notice and, when the collection of PII is made directly from the subject individual, limits its purposes to those for which the individual has provided consent to the extent permitted by law; and c. Conducts an initial evaluation of PII holdings and establishes and follows a schedule for regularly reviewing those holdings, no less often than once every three hundred sixty-five (365) days, to ensure that only PII identified in the notice is collected and retained, and that the PII continues to be necessary to accomplish the legally authorized purpose.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nCoordinating review of the organization’s holdings of PII with existing system review processes maximizes the efficient use of organization resources and will ensure all PII retained, even if the PII is not maintained in a Privacy Act system of records, is relevant and accurate. Reducing PII to the minimum required to accomplish the legally authorized purpose of collection and retaining PII for the minimum necessary period of time reduces the risk of PII breaches and will reduce the risk of the organization making decisions based on inaccurate PII.Organizations take appropriate steps to ensure that the collection of PII is consistent with a purpose authorized by law or regulation. The minimum set of PII elements required to support a specific organization’s business process may be a subset of the PII the organization is authorized to collect. Program officials and program representatives such as Data Guardians consult with the Senior Official for Privacy (SOP) and legal counsel to identify the minimum PII elements required by the information system or activity to accomplish the legally authorized purpose.Organizations can further reduce their privacy and security risks by also reducing their inventory of PII, where appropriate. OMB Memorandum 07-16 requires organizations to conduct both an initial review and subsequent reviews of their holdings of all PII and ensure, to the maximum extent practicable, that such holdings are accurate, relevant, timely, and complete. Organizations are also directed by OMB to reduce their holdings to the minimum necessary for the proper performance of a documented organizational business purpose. OMB Memorandum 17-12 requires organizations to develop and publicize, either through a notice in the Federal Register or on their websites, a schedule for periodic reviews of their holdings to supplement the initial review. Organizations coordinate with their federal records officers to ensure that reductions in organizational holdings of PII are consistent with NARA retention schedules.Organizations should coordinate the PII holdings reviews with the systems’ annual information security reviews schedule to the maximum extent practicable.By performing periodic evaluations, organizations reduce risk, ensure that they are collecting only the data specified in the notice, and ensure that the data collected is still relevant and necessary for the purpose(s) specified in the notice.\r\n\r\n',' AP-1, AP-2, AR-4, IP-1, SE-1, SI-12, TR-1'),(465,'DM-01(01)','Data Minimization and Retention','Locate/Remove/Redact/Anonymize PII ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization, where feasible and within the limits of technology and the law, locates and removes/redacts specified PII and/or uses anonymization and de-identification techniques to permit authorized use of the retained information while reducing its sensitivity and reducing the risk resulting from disclosure.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nNIST SP 800-122 provides guidance on anonymization.\r\n\r\n',' '),(466,'DM-02','Data Minimization and Retention','Data Retention and Disposal ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Retains each collection of PII for the time period specified by the NARA-approved Records Schedule in consultation with the Records Management Officer to fulfill the purpose(s) identified in the notice or as required by law;b. Disposes of, destroys, erases, and/or anonymizes the PII, regardless of the method of storage, in accordance with a NARA approved record retention schedule and in a manner that prevents loss, theft, misuse, or unauthorized access; and c. Uses FIPS-validated techniques or methods to ensure secure deletion or destruction of PII (including originals, copies, and archived records).\r\n\r\nSystems processing, storing, or transmitting PHI:\r\n\r\nThe organization retains each collection of protected health information (PHI) for a minimum of 6 years from the date of its creation or the date when it was last in effect, whichever is later to fulfill the purpose(s) identified in the notice or as required by law.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nBoth the Privacy Act and the Federal Records Act require records to be maintained and disposed of in accordance with a published Records Schedule. Disposal and destruction of PII must be done securely so that it may not be reconstructed.NARA provides retention schedules that govern the disposition of federal records. Program officials and business owners coordinate with records officers, Cyber Risk Advisors, and with NARA to identify appropriate retention periods and disposal methods. NARA may require organizations to retain PII longer than is operationally needed. In those situations, organizations describe such requirements in the notice. Methods of storage include, for example, electronic, optical media (such as CDs or DVDs), or paper.Examples of ways organizations may reduce holdings include reducing the types of PII held (e.g., delete Social Security Numbers if their use is no longer needed) or shortening the retention period for PII that is maintained if it is no longer necessary to keep PII for long periods of time (this effort is undertaken in consultation with an organization’s records officer to receive NARA approval). In both examples, organizations provide notice (e.g., an updated System of Records Notice) to inform the public of any changes in holdings of PII.Certain read-only archiving techniques, such as DVDs, CDs, microfilm, or microfiche may not permit the removal of individual records without the destruction of the entire database contained on such media.\r\n\r\n',' AR-4, AU-11, DM-1, MP-1, MP-2, MP-3, MP-4, MP-5, MP-6, MP-7, MP-8, SI-12, TR-1'),(467,'DM-02(01)','Data Minimization and Retention','System Configuration ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization, where feasible, configures its information systems to record the date PII is collected, created, or updated and when PII is to be deleted or archived under a NARA-approved Records Schedule.\r\n\r\n','Guidance for systems processing, storing, or transmitting PHI:\r\n\r\nHIPAA requires the organization to follow specific procedures for de-identification and to implement policies and procedures to address the final disposition of PHI and/or the hardware or electronic media on which it is stored.\r\n\r\n',' '),(468,'DM-03','Data Minimization and Retention','Minimization of PII Used in Testing, Training, and Research ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Develops policies and procedures that minimize the use of PII for testing, training, and research; and b. Implements controls to protect PII used for testing, training, and research.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nWhen developing and testing information systems, PII is at a heightened risk for accidental loss, theft, or compromise. Therefore, the organization needs to take measures to reduce that risk.Organizations often use PII for testing new applications or information systems prior to deployment. Organizations also use PII for research purposes and for training. The use of PII in testing, research, and training increases risk of unauthorized disclosure or misuse of the information. If PII must be used, organizations take measures to minimize any associated risks and to authorize the use of and limit the amount of PII for these purposes. Organizations consult with the Senior Official for Privacy (SOP) and legal counsel to ensure that the use of PII in testing, training, and research is compatible with the original purpose for which it was collected.When PII is of a sufficiently sensitive nature, to the greatest extent possible, PII should not be used when testing or developing an information system.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nHIPAA has specific requirements for the use of PHI in training or research.  As indicated by the HIPAA Privacy Rule’s “health care operations” definition (45 C.F.R. §164.501), covered entities may use PHI for conducting training programs in which students, trainees, or practitioners in areas of health care learn under supervision to practice or improve their skills as health care providers. Covered entities may also use PHI for conducting training of non-health care professionals, and in the course of accreditation, certification, licensing, or credentialing activities. For additional information on when and how covered entities may use PHI to conduct research, see 45 C.F.R. §164.512(i).\r\n\r\n',' '),(469,'DM-03(01)','Data Minimization and Retention','Risk Minimization Techniques ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization, where feasible, uses techniques to minimize the risk to privacy of using PII for research, testing, or training.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nAnonymizing PII is one technique to reduce risk and decreases the potential impact if the PII is compromised.Organizations can minimize risk to privacy of PII by using techniques such as de-identification.When PII is of a sufficiently sensitive nature, to the maximum extent possible, PII should be anonymized in accordance with NIST SP 800-122 prior to its use in development or testing.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder HIPAA, there are three acceptable approaches to minimizing the risk to privacy when using PHI for research, testing or training.  The first is the de-identification of information that results in that information no longer being classified as PHI.  There are only two methods for de-identification permitted by HIPAA.  For specific details on those two methods see 45 C.F.R. §164.514(a).  The second requirement is commonly referred to as the “Minimum Necessary Rule” which limits the amount of PHI used or disclosed to that which is reasonably necessary to accomplish the purpose for which the request for information is made.  See 45 §C.F.R. §164.514(d).  The third requirement allows covered entities to use or disclose a “limited data set”, which excludes certain direct identifiers.  Unlike de-identified data, a limited data set is PHI and any use or disclosure must meet specific requirements set out on the HIPAA Privacy Rule. See 45 C.F.R. §164.514(e).\r\n\r\n',' '),(470,'DM-COSA-01','Data Minimization and Retention','Non-Mandatory: Data Minimization and Retention Control Family Policy and Procedures ','P3','','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. A Data Minimization and Retention policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the Data Minimization and Retention policy and associated Data Minimization and Retention controls; and b. Reviews and updates (as necessary) the current:    1. Data Minimization and Retention policy at least every two (2) years; and    2. Data Minimization and Retention procedures at least every two (2) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the DM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security and privacy policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' AR-1'),(471,'IP-01','Individual Participation and Redress','Consent ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Provides means, where feasible and appropriate, for individuals to authorize the collection, use, maintaining, and sharing of PII prior to its collection; b. Provides appropriate means for individuals to understand the consequences of decisions to approve or decline the authorization of the collection, use, dissemination, and retention of PII; c. Obtains consent, where feasible and appropriate, from individuals prior to any new uses or disclosure of previously collected PII; and d. Ensures that individuals are aware of and, where feasible, consent to all uses of PII not initially described in the public notice that was in effect at the time the organization collected the PII.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIndividual participation and agreement to provide information is fundamental to an individual making an informed decision regarding the collection, use, and safeguarding of their PII.Consent is fundamental to the participation of individuals in the decision-making process regarding the collection and use of their PII and the use of technologies that may increase risk to personal privacy. To obtain consent, organizations provide individuals appropriate notice of the purposes of the PII collection or technology use and a means for individuals to consent to the activity. Organizations tailor the public notice and consent mechanisms to meet operational needs. Organizations achieve awareness and consent, for example, through updated public notices.Organizations may obtain consent through opt-in, opt-out, or implied consent. Opt-in consent is the preferred method, but it is not always feasible. Opt-in requires that individuals take affirmative action to allow organizations to collect or use PII. For example, opt-in consent may require an individual to click a radio button on a website, or sign a document providing consent. In contrast, opt-out requires individuals to act to prevent the new or continued collection or use of such PII. For example, the Federal Trade Commission’s Do-Not-Call Registry allows individuals to opt-out of receiving unsolicited telemarketing calls by requesting to be added to a list. Implied consent is the least preferred method and should be used only in limited circumstances. Implied consent occurs where individuals’ behavior or failure to object indicates agreement with the collection or use of PII (e.g., by entering and remaining in a building where notice has been posted that security cameras are in use, the individual implies consent to the video recording). Depending upon the nature of the program or information system, it may be appropriate to allow individuals to limit the types of PII they provide and subsequent uses of that PII. Organizational consent mechanisms include a discussion of the consequences to individuals of failure to provide PII. Consequences can vary from organization to organization.Whenever feasible, opt-in is the preferred method to obtain consent.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nConsent is a term under HIPAA with specific meaning not equivalent to a HIPAA authorization.  For example, see: Uses and disclosures to carry out treatment, payment, or health care operations (45 C.F.R. §164.506); Uses and Disclosures for Which an Authorization is Required (45 C.F.R. §164.508); Uses and Disclosures Requiring an Opportunity to Agree/Object (45 C.F.R. §164.510); Right to Request Privacy Protection for Protected Health Information (45 C.F.R. §164.522).\r\n\r\n',' 2, AP-1, TR-1, TR-2'),(472,'IP-01(01)','Individual Participation and Redress','Mechanisms Supporting Itemized or Tiered Consent ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization implements mechanisms to support itemized or tiered consent for specific uses of data.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nIndividual consent or authorization is required under the HIPAA Privacy Rule for uses and/or disclosures of an individual’s protected health information (PHI).Organizations can provide, for example, individuals’ itemized choices as to whether they wish to be contacted for any of a variety of purposes. In this situation, organizations construct consent mechanisms to ensure that organizational operations comply with individual choices.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nIndividual consent or authorization is required under the HIPAA Privacy Rule for uses and/or disclosures of an individual’s PHI.\r\n\r\n',' '),(473,'IP-02','Individual Participation and Redress','Individual Access ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Provides individuals the ability to have access to their PII maintained in its system(s) of records; b. Publishes rules and regulations governing how individuals may request access to records maintained in a Privacy Act system of records; c. Publishes access procedures in SORNs; and d. Adheres to Privacy Act requirements and OMB policies and guidance for the proper processing of Privacy Act requests.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe Individual Participation Fair Information Practice Principles (FIPP) requires organizations to provide mechanisms for individuals to gain access to their PII when appropriate. The Privacy Act of 1974, as amended, requires organizations to provide mechanisms for individuals to gain access to their PII when that PII meets the definition of a “record.” Access is also an important aspect of supporting correction of PII and redress against alleged violations and misuse of their PII. In addition to access requirements under the Privacy Act of 1974, as amended, HIPAA has statutory requirements to provide access to PHI.Access affords individuals the ability to review PII about them held within organizational systems of records. Access includes timely, simplified, and inexpensive access to data. Organizational processes for allowing access to records may differ based on resources, legal requirements, or other factors. The Senior Official for Privacy (SOP) working with the Privacy Act Officer is responsible for the content of Privacy Act regulations and record request processing, in consultation with legal counsel. Access to certain types of records may not be appropriate, however, and heads of agencies may promulgate rules exempting systems from the access provision of the Privacy Act. For example, individuals are not entitled to access to information compiled in reasonable anticipation of a civil action or proceeding. For other examples where agencies may promulgate rules exempting systems from the access provision, see the Privacy Act at 5 USC § 552a, subsections (j) (General Exemptions) and (k) (Specific Exemptions).Organizations must provide for public access to records, including PII not included in a Privacy Act System of Records, where required or appropriate. While the language of this control is specific to the Privacy Act’s requirements for access, FIPPs encourage organizations to use available authorities to provide access when the Privacy Act does not apply. For example, some organizations use the Freedom of Information Act as another tool to provide access to PII for an affected individual.\r\n\r\n',' AR-8, IP-3, TR-1, TR-2'),(474,'IP-03','Individual Participation and Redress','Redress ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Provides a process for individuals to have inaccurate, incomplete, or out-of-date PII maintained by the organization corrected or amended, as appropriate; and b. Establishes a process for disseminating corrections or amendments of the PII to other authorized users of the PII, such as external information sharing partners and, where feasible and appropriate, notifies affected individuals that their information has been corrected or amended.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nRedress supports data integrity requirements for PII by providing a process for individuals to request correction of, or amendment to, their PII maintained by an organization.Redress supports the ability of individuals to ensure the accuracy of PII held by organizations. Effective redress processes demonstrate organizational commitment to data quality especially in those business functions where inaccurate data may result in inappropriate decisions or denial of benefits and services to individuals. Organizations use discretion in determining if records are to be corrected or amended, based on the scope of redress requests, the changes sought, and the impact of the changes. Individuals may appeal an adverse decision and have incorrect, incomplete, or out-of-date information amended, where appropriate.To provide effective redress, organizations: (i) provide effective notice of the existence of a PII collection; (ii) provide plain language explanations of the processes and mechanisms for requesting access to records; (iii) establish criteria for submitting requests for correction or amendment; (iv) implement resources to analyze and adjudicate requests; (v) implement means of correcting or amending data collections; and (vi) review any decisions that may have been the result of inaccurate information.Organizational redress processes provide responses to individuals of decisions to deny requests for correction or amendment, including the reasons for those decisions, a means to record individual objections to the organizational decisions, and a means of requesting organizational reviews of the initial determinations. Where PII is corrected, or amended, organizations take steps to ensure that all authorized recipients of that PII are informed of the corrected or amended information. In instances where redress involves information obtained from other organizations, redress processes include coordination with organizations that originally collected the information.\r\n\r\n',' IP-2, TR-1, TR-2, UL-2, DI-1'),(475,'IP-04','Individual Participation and Redress','Complaint Management ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization implements a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational privacy practices.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nEstablishing a complaint management process ensures complaints are addressed in a timely manner and provides an avenue for individuals to participate in government activities that may impact privacy. Information received from complaints provides external input regarding organizational privacy and security practices which may improve processes and systems involved in collection, use, and maintenance of personally identifiable information (PII).Complaints, concerns, and questions from individuals can serve as a valuable source of external input that ultimately improves operational models, uses of technology, data collection practices, and privacy and security safeguards. Organizations provide complaint mechanisms that are readily accessible by the public, include all information necessary for successfully filing complaints (including contact information for the Senior Official for Privacy (SOP) or other official designated to receive complaints), and are easy to use. Organizational complaint management processes include tracking mechanisms to ensure that all complaints received are reviewed and appropriately addressed in a timely manner.\r\n\r\n',' AR-6, IP-3'),(476,'IP-04(01)','Individual Participation and Redress','Response Times ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization:a. Acknowledges complaints, concerns, or questions from individuals within ten (10) working days;b. Completes review of requests within thirty (30) working days of receipt, unless unusual or exceptional circumstances preclude completing action by that time; andc. Responds to any appeal as soon as possible, but no later than thirty (30) working days after receipt of the appeal unless the appeal authority can show good cause to extend the response period.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nTimely communication and resolution of complaints from individuals demonstrates responsiveness by the organization and reduces the organization’s risk of reputational damage and potential lawsuits under HIPAA.Timely communication and resolution of complaints from individuals demonstrates responsiveness by the organization and reduces the organization’s risk of reputational damage and potential lawsuits under the Privacy Act. Organizations should establish a complaint management process that ensures complaints are resolved within a reasonable amount of time.\r\n\r\n',' '),(477,'IP-COSA-01','Individual Participation and Redress','Non-Mandatory: Individual Participation and Redress Control Family Policy and Procedures ','P3','','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. Individual Participation and Redress policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the Individual Participation and Redress policy and associated Individual Participation and Redress controls; and b. Reviews and updates (as necessary) the current:    1. Individual Participation and Redress policy at least every two (2) years; and    2. Individual Participation and Redress procedures at least every two (2) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security and privacy policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' AR-1'),(478,'SE-01','Security','Inventory of Personally Identifiable Information ','P1','High; Moderate; Low','The organization: a. Establishes, maintains, and updates, no less often than once every three hundred sixty-five (365) days, an inventory that contains a listing of all programs and information systems identified as collecting, using, maintaining, or sharing PII; and b. Provides each update of the PII inventory to the COSA Senior Official for Privacy (SOP) and the COSA CISO no less often than once every three hundred sixty-five 365 days to support the establishment of information security requirements for all new or modified information systems containing PII.\r\n\r\n','The PII inventory identifies the organization’s information assets and identifies those assets collecting, using, maintaining, or sharing PII. The PII inventory identifies those assets most likely to impact privacy; provides a starting point for organizations to implement effective administrative, technical, and physical security policies and procedures to protect PII; and to mitigate risks of PII exposure.The PII inventory enables organizations to identify systems and programs that contain PII so that they can then identify and address privacy risks. The PII inventory identifies: (i) the name and acronym for each program and system identified; (ii) the types of PII contained in that system; (iii) classification of level of sensitivity of all types of PII as collected, used, maintained, or shared by that information system; and (iv) classification of level of potential risk of substantial harm, embarrassment, inconvenience, or unfairness to affected individuals, as well as the financial or reputational risks to organizations, if PII is exposed. Organizations gather information on the location of PII as they are developing and updating systems and programs. In addition, they cross reference information in privacy impact assessments (PIA) and system of records notices (SORN) to ensure that PIAs and SORNs are consistent with the PII inventory. Organizations may extract the following information elements from Privacy Impact Assessments (PIA) for information systems containing PII: (i) the name and acronym for each system identified; (ii) the types of PII contained in that system; (iii) classification of level of sensitivity of all types of PII, as combined in that information system; and (iv) classification of level of potential risk of substantial harm, embarrassment, inconvenience, or unfairness to affected individuals, as well as the financial or reputational risks to organizations, if PII is exposed. Organizations take due care in creating and updating the inventories by identifying linkable data that could create PII.\r\n\r\n',' AR-1, AR-4, AR-5, AT-1, CM-8, DM-1, PM-5'),(479,'SE-02','Security','Privacy Incident Response ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Develops and implements a Privacy Incident and Breach Response Plan; and b. Provides an organized and effective response to privacy incidents and breaches in accordance with HHS and COSA Privacy Incident (and Breach) Response Plans.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nDeveloping and implementing a risk-based analysis for privacy breaches using a “Best Judgment Standard” as described in this control’s supplemental guidance ensures consistency in, and avoids over-reporting of, privacy breach notifications.The organizational Privacy Incident and Breach Response Plan may be integrated with the organizational Incident Response Plan.  The organization privacy incident and breach response capability must be able to demonstrate knowledge of the privacy incident and breach response processes and procedures and evidence showing the plan is followed routinely while responding to privacy incidents and breaches.In contrast to the Incident Response (IR) family in NIST 800-53 Appendix F, which concerns a broader range of incidents affecting information security, this control uses the term Privacy Incident to describe only those incidents that relate to personally identifiable information (PII). The organization Privacy Incident Response Plan is developed under the leadership of the Senior Official for Privacy (SOP). The plan includes: (i) The establishment of a cross-functional Privacy Incident Response Team that reviews, approves, and participates in the execution of the Privacy Incident Response Plan; (ii) A process to determine whether notice to oversight organizations or affected individuals is appropriate and to provide that notice accordingly; (iii) A privacy risk assessment process to determine the extent of harm, embarrassment, inconvenience, or unfairness to affected individuals and, where appropriate, to take steps to mitigate any such risks; (iv) Internal procedures to ensure prompt reporting by employees and contractors of any privacy incident to the SOP and other designated officials consistent with organizational incident management structures; and (v) Internal procedures for reporting noncompliance with organizational privacy policy by employees or contractors to appropriate management or oversight officials. Some organizations may be required by law or policy to provide notice to oversight organizations in the event of a breach.Organizations may also choose to integrate Privacy Incident Response Plans with Security Incident Response Plans or keep the plans separate.The Best Judgment Standard, explained in OMB M-17-12, Footnote 6, imposes a requirement for organizations to develop and implement a risk-based analysis for privacy breaches to determine whether the breach needs to be reported. The Best Judgment Standard gives organizations responsibility for their own data in two important ways. First, the organization must determine the sensitivity of its PII, based on the information and the context in which the information appears. Second, the organization must determine whether a privacy breach should be reported, based on the resultant privacy risk to the organization and to affected individuals. The Best Judgment Standard effectively imposes a requirement on organizations to develop and implement a risk-based analysis for privacy breaches to determine whether the breach needs to be reported. In the context of breach reporting, the purpose of the Best Judgment Standard is to limit reporting to those privacy breaches which meet the organization’s risk threshold. Conversely, under the Best Judgment Standard, organizations are not required to report privacy breaches that do not meet their risk threshold. The policy provides an example of implementing the Best Judgment Standard as discarding a document with the author’s name on the front and no other PII into an office trashcan, positing that this probably would fall below and organization’s risk threshold and would not need to be reported. OMB M-17-12 does not provide bright line rules to define what is considered “sensitive PII” using the common dictionary definition approach to the language in the memorandum–and under what circumstances a privacy breach should be reported, both because it would be a futile effort to attempt to delineate or predict the myriad potential contexts and situations, and agencies are in the best position to know and understand the relevant circumstances of their PII to determine which PII is sensitive and which breaches create risk.\r\n\r\n',' AR-1, AR-4, AR-5, AR-6, AU-1, AU-2, AU-3, AU-4, AU-5, AU-6, AU-7, AU-8, AU-9, AU-10, AU-11, AU-12, AU-13, AU-14, IR-1, IR-2, IR-3, IR-4, IR-5, IR-6, IR-7, IR-8, RA-1'),(480,'SE-COSA-01','Security','Non-Mandatory: Security Control Family Policy and Procedures ','P3','','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. Security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the Security policy and associated Security controls; and b. Reviews and updates (as necessary) the current:    1. Security policy at least every two (2) years; and    2. Security procedures at least every two (2) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security and privacy policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' AR-1'),(481,'TR-01','Transparency','Privacy Notice ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Provides effective notice to the public and to individuals regarding:    (i) Its activities that impact privacy, including its collection, use, sharing, safeguarding, maintenance, and disposal of PII;    (ii) Authority for collecting PII;    (iii) The choices, if any, individuals may have regarding how the organization uses PII and the consequences of exercising or not exercising those choices; and    (iv) The ability to access and have PII amended or corrected if necessary. b. Describes:    (i) The PII the organization collects and the purpose(s) for which it collects that information;    (ii) How the organization uses PII internally;    (iii) Whether the organization shares PII with external entities, the categories of those entities, and the purposes for such sharing;    (iv) Whether individuals can consent to specific uses or sharing of PII and how to exercise any such consent;    (v) How individuals may obtain access to PII; and    (vi) How the PII will be protected. c. Revises its public notices to reflect changes in practice or policy that affect PII or changes in its activities that impact privacy, before or as soon as practicable after the change.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nProviding the appropriate notification of privacy practices to the individual enables the individual to make an informed decision when they provide their consent.Effective notice, by virtue of its clarity, readability, and comprehensiveness, enables individuals to understand how an organization uses PII generally and, where appropriate, to make an informed decision prior to providing PII to an organization. Effective notice also demonstrates the privacy considerations that the organization has addressed in implementing its information practices. The organization may provide public notice through a variety of means. Some of these may be required by law or regulations, such as system of records notices (SORN) for Privacy Act systems, privacy impact assessments (PIA) for agency information systems and electronic collections of information, and website privacy policies for agency websites. As required by the Privacy Act, the organization also provides direct notice to individuals via Privacy Act Statements on the paper and electronic forms it uses to collect PII, or on separate forms that can be retained by the individuals.The Senior Official for Privacy (SOP) is responsible for the content of the organization’s public notices, in consultation with legal counsel and relevant program managers. The public notice requirement in this control may be satisfied by an organization’s compliance with the public notice requirements of federal laws, regulations, and guidelines, such as: Provisions of the Privacy Act,The E-Government Act’s PIA requirement,OMB Memoranda including M 03-22 (Guidance for Implementing the Privacy Provisions of the E-Government Act of 2002), 17-06 (Policies for Federal Agency Public Websites and Digital Services), 10-22 (Guidance for Online Use of Web Measurement and Customization Technology), and 10-23 (Guidance for Agency Use of Third-Party Websites and Applications),The Children’s Online Privacy Protection Act (COPPA), andThe HIPAA Privacy Rule, Section 45 CFR § 164.520, “Notice of privacy practices for protected health information.” Changing PII practice or policy without prior notice is disfavored and should only be undertaken in consultation with the SOP and Chief Counsel.The website privacy policy described by OMB M-17-12, Policies for Federal Agency Public Websites and Digital Services, frequently referred to on organization websites as a “Privacy Policy” or “Privacy and Security Notice,” is intended as a broad notice of website privacy policies and general website use, and will not by itself meet the requirement for specific notice when collecting PII. When PII is maintained (including collection) in a system of records that is covered by the Privacy Act, the organization must provide a “Privacy Act Statement” to the individual at the time of collection that meets the requirements of the Privacy Act of 1974, 5 U.S.C. §552a(e)(3), unless the organization has published a rule exempting that system of records from the (e)(3) notice provision in accordance with subsection (j) of the Privacy Act. If the PII is not maintained in a system of records under the Privacy Act, a privacy notice should be provided which describes the privacy practices associated with that PII, including, but not limited to, the way the PII is protected, how it is used, and whether it is shared. To avoid confusion, this type of privacy notice must not be labeled as a “Privacy Act Statement.” As an alternative, several organizations refer to this notice type as a “Privacy Advisory.”\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe HIPAA Privacy Rule also requires a privacy notice referred to as a “Notice of Privacy Practices.” For specific rules on this notice please refer to 45 C.F.R. §164.520.\r\n\r\n',' AP-1, AP-2, AR-1, AR-2, IP-1, IP-2, IP-3, UL-1, UL-2'),(482,'TR-01(01)','Transparency','Real-Time or Layered Notice ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization provides real-time and/or layered notice when it collects PII.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nReal-time notice facilitates informed consent and promotes trust from the individual when collecting sensitive PII. Real-time notice used in conjunction with a Privacy Act Statement or Privacy Advisory, based on the sensitivity of the PII provided or collected, ensures the individual provides informed consent.Real-time notice is defined as notice at the point of collection. A layered notice approach involves providing individuals with a summary of key points in the organization’s privacy policy. A second notice provides more detailed/specific information.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nThe HIPAA Privacy Rule provides the option of layered notice to allow for simplified up-front notification with greater detail following. The Department of Health and Human Services has provided both guidance and model notices of privacy practices (see  HYPERLINK \"http://www.hh.gov/ocr/privacy/hipaa/modelnotices.html\"  for details).\r\n\r\n',' '),(483,'TR-02','Transparency','System of Records Notices and Privacy Act Statements ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization, through the HHS Privacy Act Officer, OpDiv Privacy Contacts, and the HHS Office of General Counsel: a.  Publishes SORNs in the Federal Register, subject to required oversight processes, for systems containing PII that are subject to the Privacy Act;b. Keeps SORNs current; and c. Includes Privacy Act Statements on its forms that collect PII, or on separate forms that can be retained by individuals, to provide additional formal notice to individuals from whom the information is being collected.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSORNs and Privacy Act Statements, i.e., (e)(3) notices, provide transparency, in advance of collection, use, maintenance, or sharing of PII when in a system that meets the statutory definition of a “system of records” under the Privacy Act. The Privacy Act notes that it uses “maintain” to include “maintain, collect, use or disseminate.” These requirements impact decisions made during planning, design, development, and operation of programs and systems.Organizations issue SORNs to provide the public notice regarding PII collected in a system of records, which the Privacy Act defines as “a group of any records under the control of any agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or another identifier.” SORNs explain how the information is used, retained, and may be corrected, and whether certain portions of the system are subject to Privacy Act exemptions for law enforcement or national security reasons. Privacy Act Statements provide notice of: (i) the authority of organizations to collect PII; (ii) whether providing PII is mandatory or optional; (iii) the principal purpose(s) for which the PII is to be used; (iv) the intended disclosures (routine uses) of the information; and (v) the consequences of not providing all or some portion of the information requested. When information is collected verbally, organizations read a Privacy Act Statement prior to initiating the collection of PII (for example, when conducting telephone interviews or surveys).The Privacy Act and OMB guidance set forth specific requirements regarding when and how notices are provided. In addition to any internal organization review process, the publication of a SORN in the Federal Register requires a mandatory review and comment period of a minimum of 40 days. Regarding TR-2, paragraph a, the publication of a SORN is required only when the PII is maintained in a system that meets the statutory definition of a “system of records” under the Privacy Act. Not all systems containing PII may meet the definition of a “system of records.” However, all PII maintained by an organization must be protected irrespective of whether the PII is subject to the Privacy Act.Regarding TR-2, paragraph c, the Privacy Act Statement, when required, should be provided in the same format as the information is collected. For example, an electronic statement on a website, a written statement on a paper form, and a verbal statement provided for information that is collected verbally.\r\n\r\n',' DI-2'),(484,'TR-02(01)','Transparency','Public Website Publication ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization publishes SORNs on its public website.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nPublishing SORNs on organization websites improves transparency by providing individuals easier access to information about how their PII will be collected, used, maintained, or shared; and centralizing the information regarding to whom an individual should submit a request for access or amendment to their information covered by the SORN.The organization may establish a centralized website for publication of their SORNs.\r\n\r\n',' '),(485,'TR-03','Transparency','Dissemination of Privacy Program Information ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Ensures that the public has access to information about its privacy activities and can communicate with its Senior Official for Privacy (SOP); andb. Ensures that its privacy practices are publicly available through organizational websites or otherwise.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nMaking information about an organization’s privacy program readily available to the public reduces the burden on individuals wanting to better understand an organization’s privacy practices; and reduces burden on privacy offices and program officials by providing answers to common privacy questions through an easily accessible forum.Organizations employ different mechanisms for informing the public about their privacy practices including, but not limited to, privacy impact assessments (PIA), system of records notices (SORN), privacy reports, publicly available web pages, email distributions, blogs, and periodic publications (e.g., quarterly newsletters). Organizations also employ publicly facing email addresses and/or phone lines that enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices.\r\n\r\n',' AR-6'),(486,'TR-COSA-01','Transparency','Non-Mandatory: Transparency Control Family Policy and Procedures ','P3','','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. Transparency policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the Transparency policy and associated Transparency controls. b. Reviews and updates (as necessary) the current:    1. Transparency policy at least every two (2) years; and    2. Transparency procedures at least every two (2) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the TR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security and privacy program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security and privacy policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\r\n\r\n',' AR-1'),(487,'UL-01','Use Limitation','Internal Use ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization uses PII internally only for the authorized purpose(s) identified in the Privacy Act and/or in public notices.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nConsistent with the Privacy Act, the organization’s internal use of PII contained in a system of records notice (SORN) is limited to the purposes identified in one of the 12 exceptions to Section b of the Privacy Act and as described in the SORN. Consistent with the Fair Information Practice Principles (FIPP) and Section 208 of the E-Government Act, the organization’s internal use of PII not contained in a SORN should be compatible with the purpose for which it was originally collected and as described in the PIA or other public notice.Organizations take steps to ensure that they use PII only for legally authorized purposes and in a manner compatible with uses identified in the Privacy Act and/or in public notices. These steps include monitoring and auditing organizational use of PII and training organizational personnel on the authorized uses of PII. With guidance from the Senior Official for Privacy (SOP) and where appropriate, legal counsel, organizations document processes and procedures for evaluating any proposed new uses of PII to assess whether they fall within the scope of the organizational authorities. Where appropriate, organizations obtain consent from individuals for the new use(s) of PII.The phrase “authorization schema” refers to the logic of how authorization permissions are designed to function within the system (e.g., by group, by role, by transaction type, etc.). An example of an authorization schema where permissions appropriately match functions would be a schema where a group of “reviewers” is separate from a group of “approvers.” Individuals assigned to the “reviewer” group could read PII and make recommendations, but not approve actions. Individuals in the “approver” group could read recommendations and approve actions. An authorization schema where all individuals are automatically authorized to approve all actions is an example of a schema where the alignment between permissions and functions may be inappropriate.\r\n\r\n',' AC-2, AC-3, AC-5, AC-6, AC-8, AC-21, AU-2, AU-3, AU-10, AU-14, IA-2, PS-1, PS-2, PS-3, AP-2, AR-2, AR-3, AR-4, AR-5, IP-1, TR-1, TR-2'),(488,'UL-02','Use Limitation','Information Sharing with Third Parties ','P1','High; Moderate; Low','Systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nThe organization: a. Shares PII externally, only for the authorized purposes identified in the Privacy Act and/or described in its notice(s) or in a manner compatible with those purposes; b. Where appropriate, enters into MOUs, MOAs, Letters of Intent, CMAs, or similar agreements, with third parties that specifically describe the PII covered and specifically enumerate the purposes for which the PII may be used; c. Monitors, audits, and trains its staff on the authorized sharing of PII with third parties and on the consequences of unauthorized use or sharing of PII; and d. Evaluates any proposed new instances of sharing PII with third parties to assess whether the sharing is authorized and whether additional or new public notice is required.\r\n\r\n','Guidance for systems processing, storing, or transmitting PII (to include PHI):\r\n\r\nSharing PII with third parties introduces new risks to the individual which, as applicable, requires organizations to establish formal agreements with the third party and to ensure the sharing is compatible with the purposes described in any notice to, and consent from, the individual. Consideration of privacy risks for sharing PII apply regardless of the method used or whether the information remains stored in the system of records. Data removed from an information system covered by a system of records notice (e.g., a Human Resources [HR] database) and shared in another format (e.g., an Excel spreadsheet) must still meet purpose and use requirements of the associated notice. PII not in a system of records that is shared with a third party still must meet the Purpose Specification and, relatedly, Use Limitation FIPPs. For example, data extracts of PII shared via an Excel spreadsheet or database archive must still be shared only if consistent with purposes set out in notices provided to the individual, and in any consent or authorization received from that individual.A “third party” for these purposes is an individual or organization other than COSA and the individual about whom COSA collects and uses information.The organization SOP and, where appropriate, legal counsel, review and approve any proposed external sharing of PII, including with other public, international, or private sector entities, for consistency with uses described in the existing organizational public notice(s). When a proposed new instance of external sharing of PII is not currently authorized by the Privacy Act and/or specified in a notice, organizations evaluate whether the proposed external sharing is compatible with the purpose(s) specified in the notice. If the proposed sharing is compatible, organizations review, update, and republish their privacy impact assessment (PIA), SORN, website privacy policies, and other public notices, if any, to include specific descriptions of the new uses(s) and obtain consent where appropriate and feasible. Information-sharing agreements also include security protections consistent with the sensitivity of the information being shared.\r\n\r\nGuidance for systems processing, storing, or transmitting PHI:\r\n\r\nUnder HIPAA Privacy Rule, a covered entity may not use, disclose or request a medical record, except when the medical record is specifically justified as the amount that is reasonably necessary to accomplish the purpose of the use, disclosure, or request.  The disclosure and sharing of PHI is governed by the HIPAA regulations. For details consult the HIPAA Privacy and Security rules at:  HYPERLINK \"http://www.hhs.gov/ocr/privacy/index.html\" .\r\n\r\n',' AP-2, AR-3, AR-4, AR-5, AR-8, DI-1, DI-2, IP-1, TR-1'),(489,'UL-COSA-01','Use Limitation','Non-Mandatory: Use Limitation Control Family Policy and Procedures ','P3','','The organization: a. Develops, documents, and disseminates to applicable personnel:    1. A Use Limitation policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and    2. Procedures to facilitate the implementation of the Use Limitation policy and associated Use Limitation controls; and b. Reviews and updates (as necessary) the current:    1. Use Limitation policy at least every two (2) years; and    2. Use Limitation procedures at least every two (2) years.\r\n\r\n','This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the UL family.\r\n\r\n',' AR-1');
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  KEY `fk_work_item_result_categorization_default2_idx` (`FK_IMPACT_ID`),
  KEY `fk_work_item_result_control_weakness_type_default1_idx` (`FK_CONTROL_WEAKNESS_TYPE_ID`),
  CONSTRAINT `fk_Work_Item_Result_Work_Item_Status_Default1` FOREIGN KEY (`FK_WORK_ITEM_STATUS_ID`) REFERENCES `work_item_status_default` (`PK_WORK_ITEM_STATUS_ID`) ON DELETE CASCADE ON UPDATE CASCADE,
  CONSTRAINT `fk_Work_Item_Step_Result_Control_Work_Item_Step1` FOREIGN KEY (`FK_SYSTEM_CONTROL_TEST_ID`) REFERENCES `system_control_test` (`PK_SYSTEM_CONTROL_TEST_ID`) ON DELETE CASCADE ON UPDATE CASCADE,
  CONSTRAINT `fk_work_item_result_control_weakness_type_default1` FOREIGN KEY (`FK_CONTROL_WEAKNESS_TYPE_ID`) REFERENCES `control_weakness_type_default` (`PK_CONTROL_WEAKNESS_TYPE_ID`) ON DELETE CASCADE ON UPDATE CASCADE
) ENGINE=InnoDB DEFAULT CHARSET=utf8;
/*!40101 SET character_set_client = @saved_cs_client */;

--
-- Dumping data for table `work_item_result`
--

LOCK TABLES `work_item_result` WRITE;
/*!40000 ALTER TABLE `work_item_result` DISABLE KEYS */;
/*!40000 ALTER TABLE `work_item_result` ENABLE KEYS */;
UNLOCK TABLES;
/*!50003 SET @saved_cs_client      = @@character_set_client */ ;
/*!50003 SET @saved_cs_results     = @@character_set_results */ ;
/*!50003 SET @saved_col_connection = @@collation_connection */ ;
/*!50003 SET character_set_client  = utf8 */ ;
/*!50003 SET character_set_results = utf8 */ ;
/*!50003 SET collation_connection  = utf8_general_ci */ ;
/*!50003 SET @saved_sql_mode       = @@sql_mode */ ;
/*!50003 SET sql_mode              = 'NO_ENGINE_SUBSTITUTION' */ ;
DELIMITER ;;
/*!50003 CREATE*/ /*!50017 DEFINER=`mitre-cosa`@`%`*/ /*!50003 TRIGGER `mitre-cosa`.`TR_WORK_ITEM_RESULT_AFTER_INSERT` 
AFTER INSERT ON `work_item_result` FOR EACH ROW BEGIN

DECLARE v_security_control_name varchar(45);
DECLARE v_system_control_item varchar(45);
DECLARE v_system_name varchar(45);
DECLARE v_work_item_status_name varchar(45);
DECLARE v_auto_evidence varchar(255);
DECLARE v_gathered_evidence varchar(255);
DECLARE v_procedure_type_id int;
DECLARE v_procedure_type_name varchar(255);
DECLARE v_procedure_type_command_to_execute varchar(256);
DECLARE v_system_role_name varchar(45);
DECLARE v_control_weakness_type varchar(45);
DECLARE v_likelihood varchar(45);
DECLARE v_impact varchar(45);

SET 
  v_security_control_name = (
    select 
      security_control.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join security_control on security_control.PK_SECURITY_CONTROL_ID = system_control_test.FK_SECURITY_CONTROL_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_system_control_item = (
    select 
      CONTROL_ITEM 
    from 
      system_control_test 
    where 
      PK_SYSTEM_CONTROL_TEST_ID = NEW.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_system_name = (
    select 
      system.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system on system.PK_SYSTEM_ID = system_control_test.FK_SYSTEM_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_work_item_status_name = (
    select 
      NAME 
    from 
      work_item_status_default 
    where 
      PK_WORK_ITEM_STATUS_ID = NEW.FK_WORK_ITEM_STATUS_ID
  );
SET 
  v_auto_evidence = (
    select 
      AUTO_EVIDENCE 
    from 
      system_control_test 
    where 
      PK_SYSTEM_CONTROL_TEST_ID = NEW.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_gathered_evidence = (
    select 
      GATHERED_EVIDENCE 
    from 
      system_control_test 
    where 
      PK_SYSTEM_CONTROL_TEST_ID = NEW.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_procedure_type_id = (
    select 
      system_control_test.FK_PROCEDURE_TYPE_ID 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
    where 
      system_control_test.PK_SYSTEM_CONTROL_TEST_ID = NEW.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_procedure_type_name = (
    select 
      system_control_test_procedure_types_default.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system_control_test_procedure_types_default on system_control_test_procedure_types_default.PK_SYSTEM_CONTROL_TEST_PROCEDURE_TYPE_ID = system_control_test.FK_PROCEDURE_TYPE_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_procedure_type_command_to_execute =(
    select 
      system_control_test_procedure_types_default.COMMAND_TO_EXECUTE 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system_control_test_procedure_types_default on system_control_test_procedure_types_default.PK_SYSTEM_CONTROL_TEST_PROCEDURE_TYPE_ID = system_control_test.FK_PROCEDURE_TYPE_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_system_role_name = (
    select 
      system_roles_default.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system_roles_default on system_roles_default.PK_ROLE_ID = system_control_test.FK_ROLE_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_control_weakness_type = (
    select 
      DISTINCT control_weakness_type_default.NAME 
    from 
      control_weakness_type_default 
      join work_item_result on control_weakness_type_default.PK_CONTROL_WEAKNESS_TYPE_ID = work_item_result.FK_CONTROL_WEAKNESS_TYPE_ID 
    where 
      control_weakness_type_default.PK_CONTROL_WEAKNESS_TYPE_ID = NEW.FK_CONTROL_WEAKNESS_TYPE_ID
  );
SET 
  v_likelihood = (
    select 
      DISTINCT categorization_default.NAME 
    from 
      categorization_default 
      join work_item_result on categorization_default.PK_CATEGORIZATION_ID = work_item_result.FK_LIKELIHOOD_ID 
    where 
      categorization_default.PK_CATEGORIZATION_ID = NEW.FK_LIKELIHOOD_ID
  );
SET 
  v_impact = (
    select 
      DISTINCT categorization_default.NAME 
    from 
      categorization_default 
      join work_item_result on categorization_default.PK_CATEGORIZATION_ID = work_item_result.FK_IMPACT_ID 
    where 
      categorization_default.PK_CATEGORIZATION_ID = NEW.FK_IMPACT_ID
  );
INSERT INTO work_item_result_history (
  WORK_ITEM_RESULT_ID, SYSTEM_CONTROL_TEST_ID, 
  WORK_ITEM_STATUS_ID, RESULT_DESC, 
  MODIFIED_DATE, EXPIRATION_DATE, 
  FORWARD_TO_ROLE_ID, SECURITY_CONTROL_NAME, 
  SYSTEM_CONTROL_TEST_CONTROL_ITEM, 
  SYSTEM_NAME, WORK_ITEM_STATUS_DEFAULT_NAME, 
  AUTO_EVIDENCE, GATHERED_EVIDENCE, 
  PROCEDURE_TYPE_ID, 
  PROCEDURE_TYPE_NAME, PROCEDURE_TYPE_COMMAND_TO_EXECUTE, 
  SYSTEM_ROLES_DEFAULT_NAME, ACTION_PERFORMED, 
  CHANGED_BY, REPEAT_FINDING, REPEAT_FINDING_COSA_WEAKNESS_ID,
  FINDING_TITLE, FINDING_DESCRIPTION, WEAKNESS_DESCRIPTION, 
  CONTROL_WEAKNESS_TYPE_ID, CONTROL_WEAKNESS_TYPE, 
  RECOMMENDED_CORRECTIVE_ACTIONS, 
  EFFECT_ON_BUSINESS, LIKELIHOOD_ID, 
  LIKELIHOOD, IMPACT_ID, IMPACT, REMEDIATION_DATE
) 
VALUES 
  (
    NEW.PK_WORK_ITEM_RESULT_ID, NEW.FK_SYSTEM_CONTROL_TEST_ID, 
    NEW.FK_WORK_ITEM_STATUS_ID, NEW.RESULT_DESC, 
    NEW.MODIFIED_DATE, NEW.EXPIRATION_DATE, 
    NEW.FORWARD_TO_ROLE_ID, v_security_control_name, 
    v_system_control_item, v_system_name, 
    v_work_item_status_name, v_auto_evidence, 
    v_gathered_evidence, 
    v_procedure_type_id, v_procedure_type_name, 
    v_procedure_type_command_to_execute, 
    v_system_role_name, 'insert', NEW.UPDATED_BY, 
    NEW.REPEAT_FINDING, NEW.REPEAT_FINDING_COSA_WEAKNESS_ID, 
    NEW.FINDING_TITLE, NEW.FINDING_DESCRIPTION, NEW.WEAKNESS_DESCRIPTION, 
    NEW.FK_CONTROL_WEAKNESS_TYPE_ID, v_control_weakness_type, 
    NEW.RECOMMENDED_CORRECTIVE_ACTIONS, 
    NEW.EFFECT_ON_BUSINESS, NEW.FK_LIKELIHOOD_ID, 
    v_likelihood, NEW.FK_IMPACT_ID, 
    v_impact, NEW.REMEDIATION_DATE
  );
END */;;
DELIMITER ;
/*!50003 SET sql_mode              = @saved_sql_mode */ ;
/*!50003 SET character_set_client  = @saved_cs_client */ ;
/*!50003 SET character_set_results = @saved_cs_results */ ;
/*!50003 SET collation_connection  = @saved_col_connection */ ;
/*!50003 SET @saved_cs_client      = @@character_set_client */ ;
/*!50003 SET @saved_cs_results     = @@character_set_results */ ;
/*!50003 SET @saved_col_connection = @@collation_connection */ ;
/*!50003 SET character_set_client  = utf8 */ ;
/*!50003 SET character_set_results = utf8 */ ;
/*!50003 SET collation_connection  = utf8_general_ci */ ;
/*!50003 SET @saved_sql_mode       = @@sql_mode */ ;
/*!50003 SET sql_mode              = 'NO_ENGINE_SUBSTITUTION' */ ;
DELIMITER ;;
/*!50003 CREATE*/ /*!50017 DEFINER=`mitre-cosa`@`%`*/ /*!50003 TRIGGER `mitre-cosa`.`TR_WORK_ITEM_RESULT_AFTER_UPDATE` 
AFTER UPDATE ON `work_item_result` FOR EACH ROW BEGIN

DECLARE v_security_control_name varchar(45);
DECLARE v_system_control_item varchar(45);
DECLARE v_system_name varchar(45);
DECLARE v_work_item_status_name varchar(45);
DECLARE v_auto_evidence varchar(255);
DECLARE v_gathered_evidence varchar(255);
DECLARE v_procedure_type_id int;
DECLARE v_procedure_type_name varchar(255);
DECLARE v_procedure_type_command_to_execute varchar(256);
DECLARE v_system_role_name varchar(45);
DECLARE v_control_weakness_type varchar(45);
DECLARE v_likelihood varchar(45);
DECLARE v_impact varchar(45);

SET 
  v_security_control_name = (
    select 
      security_control.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join security_control on security_control.PK_SECURITY_CONTROL_ID = system_control_test.FK_SECURITY_CONTROL_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_system_control_item = (
    select 
      CONTROL_ITEM 
    from 
      system_control_test 
    where 
      PK_SYSTEM_CONTROL_TEST_ID = NEW.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_system_name = (
    select 
      system.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system on system.PK_SYSTEM_ID = system_control_test.FK_SYSTEM_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_work_item_status_name = (
    select 
      NAME 
    from 
      work_item_status_default 
    where 
      PK_WORK_ITEM_STATUS_ID = NEW.FK_WORK_ITEM_STATUS_ID
  );
SET 
  v_auto_evidence = (
    select 
      AUTO_EVIDENCE 
    from 
      system_control_test 
    where 
      PK_SYSTEM_CONTROL_TEST_ID = NEW.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_gathered_evidence = (
    select 
      GATHERED_EVIDENCE 
    from 
      system_control_test 
    where 
      PK_SYSTEM_CONTROL_TEST_ID = NEW.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_procedure_type_id = (
    select 
      system_control_test.FK_PROCEDURE_TYPE_ID 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
    where 
      system_control_test.PK_SYSTEM_CONTROL_TEST_ID = NEW.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_procedure_type_name = (
    select 
      system_control_test_procedure_types_default.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system_control_test_procedure_types_default on system_control_test_procedure_types_default.PK_SYSTEM_CONTROL_TEST_PROCEDURE_TYPE_ID = system_control_test.FK_PROCEDURE_TYPE_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_procedure_type_command_to_execute =(
    select 
      system_control_test_procedure_types_default.COMMAND_TO_EXECUTE 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system_control_test_procedure_types_default on system_control_test_procedure_types_default.PK_SYSTEM_CONTROL_TEST_PROCEDURE_TYPE_ID = system_control_test.FK_PROCEDURE_TYPE_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_system_role_name = (
    select 
      system_roles_default.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system_roles_default on system_roles_default.PK_ROLE_ID = system_control_test.FK_ROLE_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = NEW.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_control_weakness_type = (
    select 
      DISTINCT control_weakness_type_default.NAME 
    from 
      control_weakness_type_default 
      join work_item_result on control_weakness_type_default.PK_CONTROL_WEAKNESS_TYPE_ID = work_item_result.FK_CONTROL_WEAKNESS_TYPE_ID 
    where 
      control_weakness_type_default.PK_CONTROL_WEAKNESS_TYPE_ID = NEW.FK_CONTROL_WEAKNESS_TYPE_ID
  );
SET 
  v_likelihood = (
    select 
      DISTINCT categorization_default.NAME 
    from 
      categorization_default 
      join work_item_result on categorization_default.PK_CATEGORIZATION_ID = work_item_result.FK_LIKELIHOOD_ID 
    where 
      categorization_default.PK_CATEGORIZATION_ID = NEW.FK_LIKELIHOOD_ID
  );
SET 
  v_impact = (
    select 
      DISTINCT categorization_default.NAME 
    from 
      categorization_default 
      join work_item_result on categorization_default.PK_CATEGORIZATION_ID = work_item_result.FK_IMPACT_ID 
    where 
      categorization_default.PK_CATEGORIZATION_ID = NEW.FK_IMPACT_ID
  );
INSERT INTO work_item_result_history (
  WORK_ITEM_RESULT_ID, SYSTEM_CONTROL_TEST_ID, 
  WORK_ITEM_STATUS_ID, RESULT_DESC, 
  MODIFIED_DATE, EXPIRATION_DATE, 
  FORWARD_TO_ROLE_ID, SECURITY_CONTROL_NAME, 
  SYSTEM_CONTROL_TEST_CONTROL_ITEM, 
  SYSTEM_NAME, WORK_ITEM_STATUS_DEFAULT_NAME, 
  AUTO_EVIDENCE, GATHERED_EVIDENCE, 
  PROCEDURE_TYPE_ID, 
  PROCEDURE_TYPE_NAME, PROCEDURE_TYPE_COMMAND_TO_EXECUTE, 
  SYSTEM_ROLES_DEFAULT_NAME, ACTION_PERFORMED, 
  CHANGED_BY, REPEAT_FINDING, REPEAT_FINDING_COSA_WEAKNESS_ID, 
  FINDING_TITLE, FINDING_DESCRIPTION, WEAKNESS_DESCRIPTION, 
  CONTROL_WEAKNESS_TYPE_ID, CONTROL_WEAKNESS_TYPE, 
  RECOMMENDED_CORRECTIVE_ACTIONS, 
  EFFECT_ON_BUSINESS, LIKELIHOOD_ID, 
  LIKELIHOOD, IMPACT_ID, IMPACT, REMEDIATION_DATE
) 
VALUES 
  (
    NEW.PK_WORK_ITEM_RESULT_ID, NEW.FK_SYSTEM_CONTROL_TEST_ID, 
    NEW.FK_WORK_ITEM_STATUS_ID, NEW.RESULT_DESC, 
    NEW.MODIFIED_DATE, NEW.EXPIRATION_DATE, 
    NEW.FORWARD_TO_ROLE_ID, v_security_control_name, 
    v_system_control_item, v_system_name, 
    v_work_item_status_name, v_auto_evidence, 
    v_gathered_evidence, 
    v_procedure_type_id, v_procedure_type_name, 
    v_procedure_type_command_to_execute, 
    v_system_role_name, 'update', NEW.UPDATED_BY, 
    NEW.REPEAT_FINDING, NEW.REPEAT_FINDING_COSA_WEAKNESS_ID, 
    NEW.FINDING_TITLE, NEW.FINDING_DESCRIPTION, NEW.WEAKNESS_DESCRIPTION, 
    NEW.FK_CONTROL_WEAKNESS_TYPE_ID, v_control_weakness_type, 
    NEW.RECOMMENDED_CORRECTIVE_ACTIONS, 
    NEW.EFFECT_ON_BUSINESS, NEW.FK_LIKELIHOOD_ID, 
    v_likelihood, NEW.FK_IMPACT_ID, 
    v_impact, NEW.REMEDIATION_DATE
  );
END */;;
DELIMITER ;
/*!50003 SET sql_mode              = @saved_sql_mode */ ;
/*!50003 SET character_set_client  = @saved_cs_client */ ;
/*!50003 SET character_set_results = @saved_cs_results */ ;
/*!50003 SET collation_connection  = @saved_col_connection */ ;
/*!50003 SET @saved_cs_client      = @@character_set_client */ ;
/*!50003 SET @saved_cs_results     = @@character_set_results */ ;
/*!50003 SET @saved_col_connection = @@collation_connection */ ;
/*!50003 SET character_set_client  = utf8 */ ;
/*!50003 SET character_set_results = utf8 */ ;
/*!50003 SET collation_connection  = utf8_general_ci */ ;
/*!50003 SET @saved_sql_mode       = @@sql_mode */ ;
/*!50003 SET sql_mode              = 'NO_ENGINE_SUBSTITUTION' */ ;
DELIMITER ;;
/*!50003 CREATE*/ /*!50017 DEFINER=`mitre-cosa`@`%`*/ /*!50003 TRIGGER `mitre-cosa`.`TR_WORK_ITEM_RESULT_AFTER_DELETE` 
AFTER DELETE ON `work_item_result` FOR EACH ROW BEGIN

DECLARE v_security_control_name varchar(45);
DECLARE v_system_control_item varchar(45);
DECLARE v_system_name varchar(45);
DECLARE v_work_item_status_name varchar(45);
DECLARE v_auto_evidence varchar(255);
DECLARE v_gathered_evidence varchar(255);
DECLARE v_procedure_type_id int;
DECLARE v_procedure_type_name varchar(255);
DECLARE v_procedure_type_command_to_execute varchar(256);
DECLARE v_system_role_name varchar(45);
DECLARE v_control_weakness_type varchar(45);
DECLARE v_likelihood varchar(45);
DECLARE v_impact varchar(45);

SET 
  v_security_control_name = (
    select 
      security_control.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join security_control on security_control.PK_SECURITY_CONTROL_ID = system_control_test.FK_SECURITY_CONTROL_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = OLD.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_system_control_item = (
    select 
      CONTROL_ITEM 
    from 
      system_control_test 
    where 
      PK_SYSTEM_CONTROL_TEST_ID = OLD.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_system_name = (
    select 
      system.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system on system.PK_SYSTEM_ID = system_control_test.FK_SYSTEM_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = OLD.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_work_item_status_name = (
    select 
      NAME 
    from 
      work_item_status_default 
    where 
      PK_WORK_ITEM_STATUS_ID = OLD.FK_WORK_ITEM_STATUS_ID
  );
SET 
  v_auto_evidence = (
    select 
      AUTO_EVIDENCE 
    from 
      system_control_test 
    where 
      PK_SYSTEM_CONTROL_TEST_ID = OLD.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_gathered_evidence = (
    select 
      GATHERED_EVIDENCE 
    from 
      system_control_test 
    where 
      PK_SYSTEM_CONTROL_TEST_ID = OLD.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_procedure_type_id = (
    select 
      system_control_test.FK_PROCEDURE_TYPE_ID 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
    where 
      system_control_test.PK_SYSTEM_CONTROL_TEST_ID = OLD.FK_SYSTEM_CONTROL_TEST_ID
  );
SET 
  v_procedure_type_name = (
    select 
      system_control_test_procedure_types_default.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system_control_test_procedure_types_default on system_control_test_procedure_types_default.PK_SYSTEM_CONTROL_TEST_PROCEDURE_TYPE_ID = system_control_test.FK_PROCEDURE_TYPE_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = OLD.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_procedure_type_command_to_execute =(
    select 
      system_control_test_procedure_types_default.COMMAND_TO_EXECUTE 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system_control_test_procedure_types_default on system_control_test_procedure_types_default.PK_SYSTEM_CONTROL_TEST_PROCEDURE_TYPE_ID = system_control_test.FK_PROCEDURE_TYPE_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = OLD.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_system_role_name = (
    select 
      system_roles_default.NAME 
    from 
      system_control_test 
      join work_item_result on system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID 
      join system_roles_default on system_roles_default.PK_ROLE_ID = system_control_test.FK_ROLE_ID 
    where 
      work_item_result.PK_WORK_ITEM_RESULT_ID = OLD.PK_WORK_ITEM_RESULT_ID
  );
SET 
  v_control_weakness_type = (
    select 
      DISTINCT control_weakness_type_default.NAME 
    from 
      control_weakness_type_default 
      join work_item_result on control_weakness_type_default.PK_CONTROL_WEAKNESS_TYPE_ID = work_item_result.FK_CONTROL_WEAKNESS_TYPE_ID 
    where 
      control_weakness_type_default.PK_CONTROL_WEAKNESS_TYPE_ID = OLD.FK_CONTROL_WEAKNESS_TYPE_ID
  );
SET 
  v_likelihood = (
    select 
      DISTINCT categorization_default.NAME 
    from 
      categorization_default 
      join work_item_result on categorization_default.PK_CATEGORIZATION_ID = work_item_result.FK_LIKELIHOOD_ID 
    where 
      categorization_default.PK_CATEGORIZATION_ID = OLD.FK_LIKELIHOOD_ID
  );
SET 
  v_impact = (
    select 
      DISTINCT categorization_default.NAME 
    from 
      categorization_default 
      join work_item_result on categorization_default.PK_CATEGORIZATION_ID = work_item_result.FK_IMPACT_ID 
    where 
      categorization_default.PK_CATEGORIZATION_ID = OLD.FK_IMPACT_ID
  );
INSERT INTO work_item_result_history (
  WORK_ITEM_RESULT_ID, SYSTEM_CONTROL_TEST_ID, 
  WORK_ITEM_STATUS_ID, RESULT_DESC, 
  MODIFIED_DATE, EXPIRATION_DATE, 
  FORWARD_TO_ROLE_ID, SECURITY_CONTROL_NAME, 
  SYSTEM_CONTROL_TEST_CONTROL_ITEM, 
  SYSTEM_NAME, WORK_ITEM_STATUS_DEFAULT_NAME, 
  AUTO_EVIDENCE, GATHERED_EVIDENCE, 
  PROCEDURE_TYPE_ID, 
  PROCEDURE_TYPE_NAME, PROCEDURE_TYPE_COMMAND_TO_EXECUTE, 
  SYSTEM_ROLES_DEFAULT_NAME, ACTION_PERFORMED, 
  CHANGED_BY, REPEAT_FINDING, REPEAT_FINDING_COSA_WEAKNESS_ID, 
  FINDING_TITLE, FINDING_DESCRIPTION, WEAKNESS_DESCRIPTION, 
  CONTROL_WEAKNESS_TYPE_ID, CONTROL_WEAKNESS_TYPE, 
  RECOMMENDED_CORRECTIVE_ACTIONS, 
  EFFECT_ON_BUSINESS, LIKELIHOOD_ID, 
  LIKELIHOOD, IMPACT_ID, IMPACT, REMEDIATION_DATE
) 
VALUES 
  (
    OLD.PK_WORK_ITEM_RESULT_ID, OLD.FK_SYSTEM_CONTROL_TEST_ID, 
    OLD.FK_WORK_ITEM_STATUS_ID, OLD.RESULT_DESC, 
    OLD.MODIFIED_DATE, OLD.EXPIRATION_DATE, 
    OLD.FORWARD_TO_ROLE_ID, v_security_control_name, 
    v_system_control_item, v_system_name, 
    v_work_item_status_name, v_auto_evidence, 
    v_gathered_evidence, 
    v_procedure_type_id, v_procedure_type_name, 
    v_procedure_type_command_to_execute, 
    v_system_role_name, 'delete', OLD.UPDATED_BY, 
    OLD.REPEAT_FINDING, OLD.REPEAT_FINDING_COSA_WEAKNESS_ID, 
    OLD.FINDING_TITLE, OLD.FINDING_DESCRIPTION, OLD.WEAKNESS_DESCRIPTION, 
    OLD.FK_CONTROL_WEAKNESS_TYPE_ID, v_control_weakness_type, 
    OLD.RECOMMENDED_CORRECTIVE_ACTIONS, 
    OLD.EFFECT_ON_BUSINESS, OLD.FK_LIKELIHOOD_ID, 
    v_likelihood, OLD.FK_IMPACT_ID, 
    v_impact, OLD.REMEDIATION_DATE
  );
END */;;
DELIMITER ;
/*!50003 SET sql_mode              = @saved_sql_mode */ ;
/*!50003 SET character_set_client  = @saved_cs_client */ ;
/*!50003 SET character_set_results = @saved_cs_results */ ;
/*!50003 SET collation_connection  = @saved_col_connection */ ;

--
-- Table structure for table `work_item_result_history`
--

DROP TABLE IF EXISTS `work_item_result_history`;
/*!40101 SET @saved_cs_client     = @@character_set_client */;
/*!40101 SET character_set_client = utf8 */;
CREATE TABLE `work_item_result_history` (
  `PK_WORK_ITEM_RESULT_HISTORY_ID` int(11) NOT NULL AUTO_INCREMENT,
  `WORK_ITEM_RESULT_ID` int(11) NOT NULL,
  `SYSTEM_CONTROL_TEST_ID` int(11) NOT NULL,
  `WORK_ITEM_STATUS_ID` int(11) NOT NULL,
  `RESULT_DESC` longtext NOT NULL,
  `MODIFIED_DATE` datetime DEFAULT NULL,
  `EXPIRATION_DATE` datetime DEFAULT NULL,
  `FORWARD_TO_ROLE_ID` int(11) DEFAULT NULL,
  `SECURITY_CONTROL_NAME` varchar(45) DEFAULT NULL,
  `SYSTEM_CONTROL_TEST_CONTROL_ITEM` varchar(45) DEFAULT NULL,
  `SYSTEM_NAME` varchar(45) DEFAULT NULL,
  `WORK_ITEM_STATUS_DEFAULT_NAME` varchar(45) DEFAULT NULL,
  `AUTO_EVIDENCE` varchar(255) DEFAULT NULL,
  `GATHERED_EVIDENCE` varchar(255) DEFAULT NULL,
  `PROCEDURE_TYPE_ID` int(11) DEFAULT NULL,
  `PROCEDURE_TYPE_NAME` varchar(45) DEFAULT NULL,
  `PROCEDURE_TYPE_COMMAND_TO_EXECUTE` varchar(256) DEFAULT NULL,
  `SYSTEM_ROLES_DEFAULT_NAME` varchar(45) DEFAULT NULL,
  `ACTION_PERFORMED` varchar(10) DEFAULT NULL,
  `CHANGED_BY` varchar(15) DEFAULT NULL,
  `CHANGED_ON` datetime NOT NULL DEFAULT CURRENT_TIMESTAMP ON UPDATE CURRENT_TIMESTAMP,
  `REPEAT_FINDING` tinyint(4) NOT NULL,
  `REPEAT_FINDING_COSA_WEAKNESS_ID` varchar(45) DEFAULT NULL,
  `FINDING_TITLE` varchar(80) DEFAULT NULL,
  `FINDING_DESCRIPTION` longtext,
  `WEAKNESS_DESCRIPTION` longtext,
  `CONTROL_WEAKNESS_TYPE_ID` int(11) DEFAULT NULL,
  `CONTROL_WEAKNESS_TYPE` varchar(45) DEFAULT NULL,
  `RECOMMENDED_CORRECTIVE_ACTIONS` longtext,
  `EFFECT_ON_BUSINESS` longtext,
  `LIKELIHOOD_ID` int(11) DEFAULT NULL,
  `LIKELIHOOD` varchar(45) DEFAULT NULL,
  `IMPACT_ID` int(11) DEFAULT NULL,
  `IMPACT` varchar(45) DEFAULT NULL,
  `REMEDIATION_DATE` datetime DEFAULT NULL,
  PRIMARY KEY (`PK_WORK_ITEM_RESULT_HISTORY_ID`)
) ENGINE=InnoDB DEFAULT CHARSET=utf8;
/*!40101 SET character_set_client = @saved_cs_client */;

--
-- Dumping data for table `work_item_result_history`
--

LOCK TABLES `work_item_result_history` WRITE;
/*!40000 ALTER TABLE `work_item_result_history` DISABLE KEYS */;
/*!40000 ALTER TABLE `work_item_result_history` ENABLE KEYS */;
UNLOCK TABLES;
/*!50003 SET @saved_cs_client      = @@character_set_client */ ;
/*!50003 SET @saved_cs_results     = @@character_set_results */ ;
/*!50003 SET @saved_col_connection = @@collation_connection */ ;
/*!50003 SET character_set_client  = utf8 */ ;
/*!50003 SET character_set_results = utf8 */ ;
/*!50003 SET collation_connection  = utf8_general_ci */ ;
/*!50003 SET @saved_sql_mode       = @@sql_mode */ ;
/*!50003 SET sql_mode              = 'STRICT_TRANS_TABLES,NO_AUTO_CREATE_USER,NO_ENGINE_SUBSTITUTION' */ ;
DELIMITER ;;
/*!50003 CREATE*/ /*!50017 DEFINER=`mitre-cosa`@`%`*/ /*!50003 TRIGGER `mitre-cosa`.`TR_WORK_ITEM_RESULT_HISTORY_AFTER_INSERT`
AFTER INSERT ON `work_item_result_history` FOR EACH ROW BEGIN
 
IF
(SELECT count(*) FROM weekly_status WHERE WORK_ITEM_RESULT_ID = NEW.WORK_ITEM_RESULT_ID AND WEEK_OF_YEAR =  WEEK(current_timestamp())) = 0
THEN
 
INSERT INTO  weekly_status (
  WORK_ITEM_RESULT_ID,
  SYSTEM_NAME,
  STATUS,
  WEEK_OF_YEAR
)
VALUES
  (
    NEW.WORK_ITEM_RESULT_ID,
    NEW.SYSTEM_NAME,
    NEW.WORK_ITEM_STATUS_DEFAULT_NAME,
    WEEK(current_timestamp())
  );
 
ELSE
UPDATE weekly_status SET STATUS = NEW.WORK_ITEM_STATUS_DEFAULT_NAME, WEEK_OF_YEAR =  WEEK(current_timestamp()) WHERE WORK_ITEM_RESULT_ID = NEW.WORK_ITEM_RESULT_ID
AND WEEK_OF_YEAR =  WEEK(current_timestamp());
END IF;
 
END */;;
DELIMITER ;
/*!50003 SET sql_mode              = @saved_sql_mode */ ;
/*!50003 SET character_set_client  = @saved_cs_client */ ;
/*!50003 SET character_set_results = @saved_cs_results */ ;
/*!50003 SET collation_connection  = @saved_col_connection */ ;

--
-- Table structure for table `work_item_status_default`
--

DROP TABLE IF EXISTS `work_item_status_default`;
/*!40101 SET @saved_cs_client     = @@character_set_client */;
/*!40101 SET character_set_client = utf8 */;
CREATE TABLE `work_item_status_default` (
  `PK_WORK_ITEM_STATUS_ID` int(11) NOT NULL AUTO_INCREMENT,
  `NAME` varchar(45) NOT NULL,
  PRIMARY KEY (`PK_WORK_ITEM_STATUS_ID`),
  UNIQUE KEY `unique_name` (`NAME`)
) ENGINE=InnoDB AUTO_INCREMENT=5 DEFAULT CHARSET=utf8;
/*!40101 SET character_set_client = @saved_cs_client */;

--
-- Dumping data for table `work_item_status_default`
--

LOCK TABLES `work_item_status_default` WRITE;
/*!40000 ALTER TABLE `work_item_status_default` DISABLE KEYS */;
INSERT INTO `work_item_status_default` VALUES (2,'Fail'),(3,'Incomplete'),(1,'Pass'),(4,'Risk Accepted');
/*!40000 ALTER TABLE `work_item_status_default` ENABLE KEYS */;
UNLOCK TABLES;

--
-- Dumping events for database 'mitre-cosa'
--
/*!50106 SET @save_time_zone= @@TIME_ZONE */ ;
/*!50106 DROP EVENT IF EXISTS `update_trending_data` */;
DELIMITER ;;
/*!50003 SET @saved_cs_client      = @@character_set_client */ ;;
/*!50003 SET @saved_cs_results     = @@character_set_results */ ;;
/*!50003 SET @saved_col_connection = @@collation_connection */ ;;
/*!50003 SET character_set_client  = utf8 */ ;;
/*!50003 SET character_set_results = utf8 */ ;;
/*!50003 SET collation_connection  = utf8_general_ci */ ;;
/*!50003 SET @saved_sql_mode       = @@sql_mode */ ;;
/*!50003 SET sql_mode              = 'NO_ENGINE_SUBSTITUTION' */ ;;
/*!50003 SET @saved_time_zone      = @@time_zone */ ;;
/*!50003 SET time_zone             = 'SYSTEM' */ ;;
/*!50106 CREATE*/ /*!50117 DEFINER=`mitre-cosa`@`%`*/ /*!50106 EVENT `update_trending_data` ON SCHEDULE EVERY 1 WEEK STARTS '2019-05-19 03:00:00' ON COMPLETION PRESERVE ENABLE DO BEGIN
               
                                INSERT INTO weekly_status
(WORK_ITEM_RESULT_ID, SYSTEM_NAME, STATUS, MODIFIED_DATE, WEEK_OF_YEAR)
 
 
   SELECT PK_WORK_ITEM_RESULT_ID AS WORK_ITEM_RESULT_ID , system.NAME AS SYSTEM_NAME, work_item_status_default.NAME AS STATUS, work_item_result.MODIFIED_DATE, WEEK(NOW(),1) AS WEEK_OF_YEAR
FROM work_item_result
INNER JOIN system_control_test ON system_control_test.PK_SYSTEM_CONTROL_TEST_ID = work_item_result.FK_SYSTEM_CONTROL_TEST_ID
INNER JOIN system ON system.PK_SYSTEM_ID = system_control_test.FK_SYSTEM_ID
INNER JOIN work_item_status_default ON work_item_status_default.PK_WORK_ITEM_STATUS_ID = work_item_result.FK_WORK_ITEM_STATUS_ID;
 
   INSERT INTO messages(message,created_at)
   VALUES('update_trending_data  recurring Event',NOW());
 
END */ ;;
/*!50003 SET time_zone             = @saved_time_zone */ ;;
/*!50003 SET sql_mode              = @saved_sql_mode */ ;;
/*!50003 SET character_set_client  = @saved_cs_client */ ;;
/*!50003 SET character_set_results = @saved_cs_results */ ;;
/*!50003 SET collation_connection  = @saved_col_connection */ ;;
DELIMITER ;
/*!50106 SET TIME_ZONE= @save_time_zone */ ;

--
-- Dumping routines for database 'mitre-cosa'
--
/*!50003 DROP PROCEDURE IF EXISTS `createDefaultFindings` */;
/*!50003 SET @saved_cs_client      = @@character_set_client */ ;
/*!50003 SET @saved_cs_results     = @@character_set_results */ ;
/*!50003 SET @saved_col_connection = @@collation_connection */ ;
/*!50003 SET character_set_client  = utf8 */ ;
/*!50003 SET character_set_results = utf8 */ ;
/*!50003 SET collation_connection  = utf8_general_ci */ ;
/*!50003 SET @saved_sql_mode       = @@sql_mode */ ;
/*!50003 SET sql_mode              = 'NO_ENGINE_SUBSTITUTION' */ ;
DELIMITER ;;
CREATE DEFINER=`mitre-cosa`@`%` PROCEDURE `createDefaultFindings`(IN systemID INT)
BEGIN

INSERT INTO work_item_result (FK_SYSTEM_CONTROL_TEST_ID, FK_WORK_ITEM_STATUS_ID,
													RESULT_DESC, FORWARD_TO_ROLE_ID, UPDATED_BY, REPEAT_FINDING,
                                                    FINDING_DESCRIPTION, WEAKNESS_DESCRIPTION,
                                                    FK_CONTROL_WEAKNESS_TYPE_ID, RECOMMENDED_COrRECTIVE_ACTIONS, 
                                                    EFFECT_ON_BUSINESS, FK_LIKELIHOOD_ID, FK_IMPACT_ID, EXPIRATION_DATE)
                                                    
                                        SELECT  PK_SYSTEM_CONTROL_TEST_ID AS FK_SYSTEM_CONTROL_TEST_ID,
														IF(system.IS_REMOTE = 1 OR DEPENDS_ON_SYSTEM_ID IS NOT NULL , 1, 3) AS FK_WORK_ITEM_STATUS_ID,
														CONCAT('Inherited from control provider ', (SELECT NAME FROM system WHERE PK_SYSTEM_ID = DEPENDS_ON_SYSTEM_ID)) AS RESULT_DESC,
                                                        FK_ROLE_ID AS FORWARD_TO_ROLE_ID,
                                                        'system' AS UPDATED_BY,
                                                        0 AS REPEAT_FINDING,
                                                        '' AS FINDING_DESCRIPTION,
                                                        '' AS WEAKNESS_DESCRIPTION,
                                                        1 AS FK_CONTROL_WEAKNESS_TYPE_ID,
                                                        '' AS RECOMMENDED_CORRECTIVE_ACTIONS,
                                                        '' AS EFFECT_ON_BUSINESS, 
                                                        1 AS FK_LIKELIHOOD_ID, 1 AS FK_IMPACT_ID, 
                                                        IF(system.IS_REMOTE = 1 OR DEPENDS_ON_SYSTEM_ID IS NOT NULL , DATE_ADD(CURRENT_TIMESTAMP, INTERVAL 1 YEAR), null) AS EXPIRATION_DATE
                                    FROM system_control_test
                                    INNER JOIN system ON system.PK_SYSTEM_ID = system_control_test.FK_SYSTEM_ID
                                    WHERE FK_SYSTEM_ID = systemID AND APPLICABLE = 1; 

END ;;
DELIMITER ;
/*!50003 SET sql_mode              = @saved_sql_mode */ ;
/*!50003 SET character_set_client  = @saved_cs_client */ ;
/*!50003 SET character_set_results = @saved_cs_results */ ;
/*!50003 SET collation_connection  = @saved_col_connection */ ;
/*!50003 DROP PROCEDURE IF EXISTS `insertSystemTestsFromBaseline` */;
/*!50003 SET @saved_cs_client      = @@character_set_client */ ;
/*!50003 SET @saved_cs_results     = @@character_set_results */ ;
/*!50003 SET @saved_col_connection = @@collation_connection */ ;
/*!50003 SET character_set_client  = utf8 */ ;
/*!50003 SET character_set_results = utf8 */ ;
/*!50003 SET collation_connection  = utf8_general_ci */ ;
/*!50003 SET @saved_sql_mode       = @@sql_mode */ ;
/*!50003 SET sql_mode              = 'NO_ENGINE_SUBSTITUTION' */ ;
DELIMITER ;;
CREATE DEFINER=`mitre-cosa`@`%` PROCEDURE `insertSystemTestsFromBaseline`(IN systemID INT, IN templateID INT)
BEGIN
INSERT INTO system_control_test (FK_SYSTEM_ID, FK_SECURITY_CONTROL_ID, FK_PROCEDURE_TYPE_ID,   
                                    FK_ROLE_ID, CONTROL_ITEM, TITLE, DESCRIPTION, FREQUENCY, 
                                    AUTO_EVIDENCE, GATHERED_EVIDENCE, RUNTIME_CHECK,
                                    APPLICABLE, IS_MANUAL, DEPENDS_ON_SYSTEM_ID, CCI, HYBRID,         
                                    SOURCE_ENV, FK_SOURCE_ID, FK_TEST_METHOD_ID,         
                                    TEST_OBJECTIVE, RECOMMENDED_CORRECTIVE_ACTION,  
                                    FK_COMPONENT_ID, FK_SCOPE_ID, INHERITABLE,      
                                    RISK_ACCEPTED, FK_CATALOG_ID, BASELINE_TEST_ID,   
                                    BASELINE_DATE, FK_STAGE_ID, PII_ONLY, RATIONALE, FK_CATEGORIZATION_ID)                       
                                        SELECT systemID AS FK_SYSTEM_ID, FK_SECURITY_CONTROL_ID, FK_PROCEDURE_TYPE_ID,     
                                               FK_ROLE_ID, CONTROL_ITEM, TITLE, DESCRIPTION, FREQUENCY,            
                                               AUTO_EVIDENCE, GATHERED_EVIDENCE, RUNTIME_CHECK,          
                                               APPLICABLE, IS_MANUAL, DEPENDS_ON_SYSTEM_ID, CCI,            
                                               HYBRID, SOURCE_ENV, FK_SOURCE_ID, FK_TEST_METHOD_ID,     
                                               TEST_OBJECTIVE, RECOMMENDED_CORRECTIVE_ACTION,       
                                               FK_COMPONENT_ID, FK_SCOPE_ID, INHERITABLE,       
                                               RISK_ACCEPTED, FK_CATALOG_ID, BASELINE_TEST_ID,       
                                               CURRENT_TIMESTAMP() AS BASELINE_DATE, FK_STAGE_ID, 
                                               PII_ONLY, RATIONALE, FK_CATEGORIZATION_ID                                   
                                    FROM system_control_test                                    
                                    WHERE FK_SYSTEM_ID = 0 AND 
                                          FK_CATALOG_ID IN (SELECT FK_CATALOG_ID FROM template_catalog
                                          WHERE FK_TEMPLATE_ID = templateID);                                          
END ;;
DELIMITER ;
/*!50003 SET sql_mode              = @saved_sql_mode */ ;
/*!50003 SET character_set_client  = @saved_cs_client */ ;
/*!50003 SET character_set_results = @saved_cs_results */ ;
/*!50003 SET collation_connection  = @saved_col_connection */ ;

--
-- Final view structure for view `all_compliance_counts`
--

/*!50001 DROP VIEW IF EXISTS `all_compliance_counts`*/;
/*!50001 SET @saved_cs_client          = @@character_set_client */;
/*!50001 SET @saved_cs_results         = @@character_set_results */;
/*!50001 SET @saved_col_connection     = @@collation_connection */;
/*!50001 SET character_set_client      = utf8 */;
/*!50001 SET character_set_results     = utf8 */;
/*!50001 SET collation_connection      = utf8_general_ci */;
/*!50001 CREATE ALGORITHM=UNDEFINED */
/*!50013 DEFINER=`mitre-cosa`@`%` SQL SECURITY DEFINER */
/*!50001 VIEW `all_compliance_counts` AS select `system`.`NAME` AS `SYSTEM`,`system`.`PK_SYSTEM_ID` AS `PK_SYSTEM_ID`,sum((`work_item_status_default`.`NAME` = 'Pass')) AS `totalPassed`,sum((`work_item_status_default`.`NAME` = 'Fail')) AS `totalFailed`,sum((`work_item_status_default`.`NAME` = 'Incomplete')) AS `totalIncomplete`,sum((`work_item_status_default`.`NAME` = 'Risk Accepted')) AS `totalAccepted` from ((((`work_item_result` join `work_item_status_default` on((`work_item_status_default`.`PK_WORK_ITEM_STATUS_ID` = `work_item_result`.`FK_WORK_ITEM_STATUS_ID`))) join `system_control_test` on((`system_control_test`.`PK_SYSTEM_CONTROL_TEST_ID` = `work_item_result`.`FK_SYSTEM_CONTROL_TEST_ID`))) join `security_control` on((`security_control`.`PK_SECURITY_CONTROL_ID` = `system_control_test`.`FK_SECURITY_CONTROL_ID`))) join `system` on((`system`.`PK_SYSTEM_ID` = `system_control_test`.`FK_SYSTEM_ID`))) where ((`system`.`PK_SYSTEM_ID` <> 0) or (`system`.`NAME` <> 'CATALOG')) group by `SYSTEM` */;
/*!50001 SET character_set_client      = @saved_cs_client */;
/*!50001 SET character_set_results     = @saved_cs_results */;
/*!50001 SET collation_connection      = @saved_col_connection */;

--
-- Final view structure for view `all_findings`
--

/*!50001 DROP VIEW IF EXISTS `all_findings`*/;
/*!50001 SET @saved_cs_client          = @@character_set_client */;
/*!50001 SET @saved_cs_results         = @@character_set_results */;
/*!50001 SET @saved_col_connection     = @@collation_connection */;
/*!50001 SET character_set_client      = utf8 */;
/*!50001 SET character_set_results     = utf8 */;
/*!50001 SET collation_connection      = utf8_general_ci */;
/*!50001 CREATE ALGORITHM=UNDEFINED */
/*!50013 DEFINER=`mitre-cosa`@`%` SQL SECURITY DEFINER */
/*!50001 VIEW `all_findings` AS select `work_item_result`.`PK_WORK_ITEM_RESULT_ID` AS `PK_WORK_ITEM_RESULT_ID`,`work_item_result`.`FK_SYSTEM_CONTROL_TEST_ID` AS `FK_SYSTEM_CONTROL_TEST_ID`,`system_control_test`.`CONTROL_ITEM` AS `CONTROL_ITEM`,`system_control_test`.`TITLE` AS `TEST_TITLE`,`system_control_test`.`DESCRIPTION` AS `DESCRIPTION`,`system_control_test`.`FK_ROLE_ID` AS `FK_ROLE_ID`,`system_control_test`.`IS_MANUAL` AS `IS_MANUAL`,`system_control_test_procedure_types_default`.`NAME` AS `PROCEDURE_TYPE`,`security_control`.`PK_SECURITY_CONTROL_ID` AS `PK_SECURITY_CONTROL_ID`,`security_control`.`NAME` AS `CONTROL`,`security_control`.`TITLE` AS `TITLE`,`security_control`.`FAMILY` AS `FAMILY`,`security_control`.`DESCRIPTION` AS `CONTROL_DESC`,`system`.`PK_SYSTEM_ID` AS `PK_SYSTEM_ID`,`system`.`NAME` AS `SYSTEM`,`system`.`ACTIVE` AS `ACTIVE`,`system`.`IS_REMOTE` AS `IS_REMOTE`,`categorization_default`.`NAME` AS `CATEGORIZATION`,(select `system`.`NAME` from `system` where (`system`.`PK_SYSTEM_ID` = `system_control_test`.`DEPENDS_ON_SYSTEM_ID`)) AS `DEPENDS_ON_SYSTEM`,`work_item_result`.`FK_WORK_ITEM_STATUS_ID` AS `FK_WORK_ITEM_STATUS_ID`,`work_item_status_default`.`NAME` AS `STATUS`,`work_item_result`.`RESULT_DESC` AS `RESULT_DESC`,`work_item_result`.`MODIFIED_DATE` AS `MODIFIED_DATE`,`work_item_result`.`EXPIRATION_DATE` AS `EXPIRATION_DATE`,`work_item_result`.`FORWARD_TO_ROLE_ID` AS `FORWARD_TO_ROLE_ID`,`system_roles_default`.`NAME` AS `ROLE_NAME`,`work_item_result`.`UPDATED_BY` AS `UPDATED_BY`,`work_item_result`.`REPEAT_FINDING` AS `REPEAT_FINDING_RAW`,(case when (`work_item_result`.`REPEAT_FINDING` = '0') then 'No' when (`work_item_result`.`REPEAT_FINDING` = '1') then 'Yes' end) AS `REPEAT_FINDING`,`work_item_result`.`REPEAT_FINDING_COSA_WEAKNESS_ID` AS `REPEAT_FINDING_COSA_WEAKNESS_ID`,`work_item_result`.`FINDING_TITLE` AS `FINDING_TITLE`,`work_item_result`.`FINDING_DESCRIPTION` AS `FINDING_DESCRIPTION`,`work_item_result`.`WEAKNESS_DESCRIPTION` AS `WEAKNESS_DESCRIPTION`,`work_item_result`.`FK_CONTROL_WEAKNESS_TYPE_ID` AS `FK_CONTROL_WEAKNESS_TYPE_ID`,`control_weakness_type_default`.`NAME` AS `WEAKNESS`,`work_item_result`.`RECOMMENDED_CORRECTIVE_ACTIONS` AS `RECOMMENDED_CORRECTIVE_ACTIONS`,`work_item_result`.`EFFECT_ON_BUSINESS` AS `EFFECT_ON_BUSINESS`,`work_item_result`.`FK_IMPACT_ID` AS `FK_IMPACT_ID`,`component_type_default`.`NAME` AS `COMPONENT_NAME`,`component_product_default`.`NAME` AS `PRODUCT_NAME`,(case when (`work_item_result`.`FK_IMPACT_ID` = '1') then 'LOW' when (`work_item_result`.`FK_IMPACT_ID` = '2') then 'MODERATE' when (`work_item_result`.`FK_IMPACT_ID` = '3') then 'HIGH' end) AS `IMPACT`,`work_item_result`.`FK_LIKELIHOOD_ID` AS `FK_LIKELIHOOD_ID`,(case when (`work_item_result`.`FK_LIKELIHOOD_ID` = '1') then 'LOW' when (`work_item_result`.`FK_LIKELIHOOD_ID` = '2') then 'MODERATE' when (`work_item_result`.`FK_LIKELIHOOD_ID` = '3') then 'HIGH' end) AS `LIKELIHOOD`,`work_item_result`.`REMEDIATION_DATE` AS `REMEDIATION_DATE` from (((((((((((`work_item_result` join `system_control_test` on((`system_control_test`.`PK_SYSTEM_CONTROL_TEST_ID` = `work_item_result`.`FK_SYSTEM_CONTROL_TEST_ID`))) join `system_control_test_procedure_types_default` on((`system_control_test_procedure_types_default`.`PK_SYSTEM_CONTROL_TEST_PROCEDURE_TYPE_ID` = `system_control_test`.`FK_PROCEDURE_TYPE_ID`))) join `security_control` on((`security_control`.`PK_SECURITY_CONTROL_ID` = `system_control_test`.`FK_SECURITY_CONTROL_ID`))) join `system` on((`system`.`PK_SYSTEM_ID` = `system_control_test`.`FK_SYSTEM_ID`))) join `work_item_status_default` on((`work_item_status_default`.`PK_WORK_ITEM_STATUS_ID` = `work_item_result`.`FK_WORK_ITEM_STATUS_ID`))) join `system_roles_default` on((`system_roles_default`.`PK_ROLE_ID` = `work_item_result`.`FORWARD_TO_ROLE_ID`))) join `control_weakness_type_default` on((`control_weakness_type_default`.`PK_CONTROL_WEAKNESS_TYPE_ID` = `work_item_result`.`FK_CONTROL_WEAKNESS_TYPE_ID`))) join `categorization_default` on((`categorization_default`.`PK_CATEGORIZATION_ID` = `system_control_test`.`FK_CATEGORIZATION_ID`))) join `components` on((`components`.`PK_COMPONENT_ID` = `system_control_test`.`FK_COMPONENT_ID`))) join `component_type_default` on((`component_type_default`.`PK_COMPONENT_TYPE_DEFAULT_ID` = `components`.`FK_TYPE_ID`))) join `component_product_default` on((`component_product_default`.`PK_COMPONENT_PRODUCT_DEFAULT_ID` = `components`.`FK_PRODUCT_ID`))) */;
/*!50001 SET character_set_client      = @saved_cs_client */;
/*!50001 SET character_set_results     = @saved_cs_results */;
/*!50001 SET collation_connection      = @saved_col_connection */;

--
-- Final view structure for view `all_history`
--

/*!50001 DROP VIEW IF EXISTS `all_history`*/;
/*!50001 SET @saved_cs_client          = @@character_set_client */;
/*!50001 SET @saved_cs_results         = @@character_set_results */;
/*!50001 SET @saved_col_connection     = @@collation_connection */;
/*!50001 SET character_set_client      = utf8 */;
/*!50001 SET character_set_results     = utf8 */;
/*!50001 SET collation_connection      = utf8_general_ci */;
/*!50001 CREATE ALGORITHM=UNDEFINED */
/*!50013 DEFINER=`mitre-cosa`@`%` SQL SECURITY DEFINER */
/*!50001 VIEW `all_history` AS select `work_item_result_history`.`PK_WORK_ITEM_RESULT_HISTORY_ID` AS `PK_WORK_ITEM_RESULT_HISTORY_ID`,`work_item_result_history`.`WORK_ITEM_RESULT_ID` AS `WORK_ITEM_RESULT_ID`,`work_item_result_history`.`SYSTEM_CONTROL_TEST_ID` AS `SYSTEM_CONTROL_TEST_ID`,`work_item_result_history`.`WORK_ITEM_STATUS_ID` AS `WORK_ITEM_STATUS_ID`,`work_item_result_history`.`RESULT_DESC` AS `RESULT_DESC`,(case when isnull(`work_item_result_history`.`MODIFIED_DATE`) then '' else date_format(`work_item_result_history`.`MODIFIED_DATE`,'%c/%e/%Y %H:%i') end) AS `MODIFIED_DATE`,(case when isnull(`work_item_result_history`.`EXPIRATION_DATE`) then '' else date_format(`work_item_result_history`.`EXPIRATION_DATE`,'%c/%e/%Y %H:%i') end) AS `EXPIRATION_DATE`,`work_item_result_history`.`FORWARD_TO_ROLE_ID` AS `FORWARD_TO_ROLE_ID`,`work_item_result_history`.`SECURITY_CONTROL_NAME` AS `SECURITY_CONTROL_NAME`,`work_item_result_history`.`SYSTEM_CONTROL_TEST_CONTROL_ITEM` AS `SYSTEM_CONTROL_TEST_CONTROL_ITEM`,`work_item_result_history`.`SYSTEM_NAME` AS `SYSTEM_NAME`,`work_item_result_history`.`WORK_ITEM_STATUS_DEFAULT_NAME` AS `WORK_ITEM_STATUS_DEFAULT_NAME`,`work_item_result_history`.`AUTO_EVIDENCE` AS `AUTO_EVIDENCE`,(case when isnull(`work_item_result_history`.`GATHERED_EVIDENCE`) then '' else `work_item_result_history`.`GATHERED_EVIDENCE` end) AS `GATHERED_EVIDENCE`,`work_item_result_history`.`PROCEDURE_TYPE_ID` AS `PROCEDURE_TYPE_ID`,`work_item_result_history`.`PROCEDURE_TYPE_NAME` AS `PROCEDURE_TYPE_NAME`,(case when isnull(`work_item_result_history`.`PROCEDURE_TYPE_COMMAND_TO_EXECUTE`) then '' end) AS `PROCEDURE_TYPE_COMMAND_TO_EXECUTE`,`work_item_result_history`.`SYSTEM_ROLES_DEFAULT_NAME` AS `SYSTEM_ROLES_DEFAULT_NAME`,`work_item_result_history`.`ACTION_PERFORMED` AS `ACTION_PERFORMED`,`work_item_result_history`.`CHANGED_BY` AS `CHANGED_BY`,(case when isnull(`work_item_result_history`.`CHANGED_ON`) then '' else date_format(`work_item_result_history`.`CHANGED_ON`,'%c/%e/%Y %H:%i') end) AS `CHANGED_ON`,(case when (`work_item_result_history`.`REPEAT_FINDING` = 0) then 'No' else 'YES' end) AS `REPEAT_FINDING`,`work_item_result_history`.`REPEAT_FINDING_COSA_WEAKNESS_ID` AS `REPEAT_FINDING_COSA_WEAKNESS_ID`,(case when isnull(`work_item_result_history`.`FINDING_TITLE`) then '' else `work_item_result_history`.`FINDING_TITLE` end) AS `FINDING_TITLE`,(case when isnull(`work_item_result_history`.`FINDING_DESCRIPTION`) then '' else `work_item_result_history`.`FINDING_DESCRIPTION` end) AS `FINDING_DESCRIPTION`,(case when isnull(`work_item_result_history`.`WEAKNESS_DESCRIPTION`) then '' else `work_item_result_history`.`WEAKNESS_DESCRIPTION` end) AS `WEAKNESS_DESCRIPTION`,`work_item_result_history`.`CONTROL_WEAKNESS_TYPE_ID` AS `CONTROL_WEAKNESS_TYPE_ID`,`work_item_result_history`.`CONTROL_WEAKNESS_TYPE` AS `CONTROL_WEAKNESS_TYPE`,(case when isnull(`work_item_result_history`.`RECOMMENDED_CORRECTIVE_ACTIONS`) then '' else `work_item_result_history`.`RECOMMENDED_CORRECTIVE_ACTIONS` end) AS `RECOMMENDED_CORRECTIVE_ACTIONS`,(case when isnull(`work_item_result_history`.`EFFECT_ON_BUSINESS`) then '' else `work_item_result_history`.`EFFECT_ON_BUSINESS` end) AS `EFFECT_ON_BUSINESS`,`work_item_result_history`.`LIKELIHOOD_ID` AS `LIKELIHOOD_ID`,`work_item_result_history`.`LIKELIHOOD` AS `LIKELIHOOD`,`work_item_result_history`.`IMPACT_ID` AS `IMPACT_ID`,`work_item_result_history`.`IMPACT` AS `IMPACT`,(case when isnull(`work_item_result_history`.`REMEDIATION_DATE`) then '' else date_format(`work_item_result_history`.`REMEDIATION_DATE`,'%c/%e/%Y %H:%i') end) AS `REMEDIATION_DATE` from `work_item_result_history` */;
/*!50001 SET character_set_client      = @saved_cs_client */;
/*!50001 SET character_set_results     = @saved_cs_results */;
/*!50001 SET collation_connection      = @saved_col_connection */;

--
-- Final view structure for view `all_items`
--

/*!50001 DROP VIEW IF EXISTS `all_items`*/;
/*!50001 SET @saved_cs_client          = @@character_set_client */;
/*!50001 SET @saved_cs_results         = @@character_set_results */;
/*!50001 SET @saved_col_connection     = @@collation_connection */;
/*!50001 SET character_set_client      = utf8 */;
/*!50001 SET character_set_results     = utf8 */;
/*!50001 SET collation_connection      = utf8_general_ci */;
/*!50001 CREATE ALGORITHM=UNDEFINED */
/*!50013 DEFINER=`mitre-cosa`@`%` SQL SECURITY DEFINER */
/*!50001 VIEW `all_items` AS select `system_control_test`.`PK_SYSTEM_CONTROL_TEST_ID` AS `PK_SYSTEM_CONTROL_TEST_ID`,`system_control_test`.`FK_SYSTEM_ID` AS `FK_SYSTEM_ID`,`system`.`NAME` AS `SYSTEM_NAME`,`system`.`FK_CATEGORIZATION_ID` AS `FK_CATEGORIZATION_ID`,`categorization_default`.`NAME` AS `CATEGORIZATION_NAME`,`system_control_test`.`TITLE` AS `TEST_TITLE`,`system_control_test`.`FK_SECURITY_CONTROL_ID` AS `FK_SECURITY_CONTROL_ID`,`security_control`.`NAME` AS `SECURITY_CONTROL_NAME`,`security_control`.`BASELINE_IMPACT` AS `SECURITY_CONTROL_BASELINE`,`system_control_test`.`FK_PROCEDURE_TYPE_ID` AS `FK_PROCEDURE_TYPE_ID`,`system_control_test_procedure_types_default`.`NAME` AS `PROCEDURE_NAME`,`system_control_test`.`FK_ROLE_ID` AS `FK_ROLE_ID`,`system_roles_default`.`NAME` AS `ROLE_NAME`,`system_control_test`.`CONTROL_ITEM` AS `CONTROL_ITEM`,`security_control`.`TITLE` AS `SECURITY_CONTROL_TITLE`,`security_control`.`DESCRIPTION` AS `SECURITY_CONTROL_DESC`,`system_control_test`.`DESCRIPTION` AS `ITEM_DESC`,`system_control_test`.`FREQUENCY` AS `FREQUENCY`,`system_control_test`.`AUTO_EVIDENCE` AS `AUTO_EVIDENCE`,`system_control_test`.`GATHERED_EVIDENCE` AS `GATHERED_EVIDENCE`,`system_control_test`.`RUNTIME_CHECK` AS `RUNTIME_CHECK`,`system_control_test`.`APPLICABLE` AS `APPLICABLE`,`system_control_test`.`DEPENDS_ON_SYSTEM_ID` AS `DEPENDS_ON_SYSTEM_ID`,(select `system`.`NAME` from `system` where (`system`.`PK_SYSTEM_ID` = `system_control_test`.`DEPENDS_ON_SYSTEM_ID`)) AS `INHERITED_FROM`,`system_control_test`.`CCI` AS `CCI`,`system_control_test`.`HYBRID` AS `HYBRID`,(case when (`system_control_test`.`HYBRID` = '0') then 'No' when (`system_control_test`.`HYBRID` = '1') then 'Yes' end) AS `IS_HYBRID`,`system_control_test`.`SOURCE_ENV` AS `SOURCE_ENV`,`system_control_test`.`FK_SOURCE_ID` AS `FK_SOURCE_ID`,`test_source_default`.`NAME` AS `SOURCE_NAME`,`system_control_test`.`FK_TEST_METHOD_ID` AS `FK_TEST_METHOD_ID`,`test_method_default`.`NAME` AS `METHOD_NAME`,`system_control_test`.`TEST_OBJECTIVE` AS `TEST_OBJECTIVE`,`system_control_test`.`RECOMMENDED_CORRECTIVE_ACTION` AS `RECOMMENDED_CORRECTIVE_ACTION`,`system_control_test`.`FK_COMPONENT_ID` AS `FK_COMPONENT_ID`,`component_type_default`.`NAME` AS `COMPONENT_TYPE_NAME`,`component_product_default`.`NAME` AS `COMPONENT_PRODUCT_NAME`,`system_control_test`.`FK_SCOPE_ID` AS `FK_SCOPE_ID`,`test_scope_default`.`NAME` AS `SCOPE_NAME`,`system_control_test`.`IS_MANUAL` AS `MANUAL`,(case when (`system_control_test`.`IS_MANUAL` = '0') then 'No' when (`system_control_test`.`IS_MANUAL` = '1') then 'Yes' end) AS `IS_MANUAL`,`system_control_test`.`INHERITABLE` AS `INHERITABLE`,(case when (`system_control_test`.`INHERITABLE` = '0') then 'No' when (`system_control_test`.`INHERITABLE` = '1') then 'Yes' end) AS `IS_INHERITABLE`,`system_control_test`.`RISK_ACCEPTED` AS `RISK_ACCEPTED`,(case when (`system_control_test`.`RISK_ACCEPTED` = '0') then 'No' when (`system_control_test`.`RISK_ACCEPTED` = '1') then 'Yes' end) AS `IS_RISK_ACCEPTED`,`system_control_test`.`MODIFIED_DATE` AS `MODIFIED_DATE`,`system_control_test`.`BASELINE_DATE` AS `BASELINE_DATE`,`system_control_test`.`FK_CATALOG_ID` AS `FK_CATALOG_ID`,`catalog_default`.`NAME` AS `CATALOG_NAME`,`system_control_test`.`BASELINE_TEST_ID` AS `BASELINE_TEST_ID`,`system_control_test`.`FK_STAGE_ID` AS `FK_STAGE_ID`,`stage_default`.`NAME` AS `STAGE_NAME`,`system_control_test`.`PII_ONLY` AS `PII_ONLY`,`system_control_test`.`RATIONALE` AS `RATIONALE`,`system_control_test`.`FK_CATEGORIZATION_ID` AS `TEST_FK_CATEGORIZATION_ID`,(select `categorization_default`.`NAME` AS `TEST_CATEGORIZATION_NAME` from `categorization_default` where (`categorization_default`.`PK_CATEGORIZATION_ID` = `system_control_test`.`FK_CATEGORIZATION_ID`)) AS `TEST_CATEGORIZATION_NAME` from (((((((((((((`system_control_test` join `system` on((`system`.`PK_SYSTEM_ID` = `system_control_test`.`FK_SYSTEM_ID`))) join `categorization_default` on((`categorization_default`.`PK_CATEGORIZATION_ID` = `system`.`FK_CATEGORIZATION_ID`))) join `security_control` on((`security_control`.`PK_SECURITY_CONTROL_ID` = `system_control_test`.`FK_SECURITY_CONTROL_ID`))) join `system_control_test_procedure_types_default` on((`system_control_test_procedure_types_default`.`PK_SYSTEM_CONTROL_TEST_PROCEDURE_TYPE_ID` = `system_control_test`.`FK_PROCEDURE_TYPE_ID`))) join `system_roles_default` on((`system_roles_default`.`PK_ROLE_ID` = `system_control_test`.`FK_ROLE_ID`))) join `test_source_default` on((`test_source_default`.`PK_TEST_SOURCE_ID` = `system_control_test`.`FK_SOURCE_ID`))) join `test_method_default` on((`test_method_default`.`PK_TEST_METHOD_ID` = `system_control_test`.`FK_TEST_METHOD_ID`))) join `catalog_default` on((`catalog_default`.`PK_CATALOG_DEFAULT_ID` = `system_control_test`.`FK_CATALOG_ID`))) join `test_scope_default` on((`test_scope_default`.`PK_TEST_SCOPE_DEFAULT_ID` = `system_control_test`.`FK_SCOPE_ID`))) join `components` on((`components`.`PK_COMPONENT_ID` = `system_control_test`.`FK_COMPONENT_ID`))) join `component_product_default` on((`component_product_default`.`PK_COMPONENT_PRODUCT_DEFAULT_ID` = `components`.`FK_PRODUCT_ID`))) join `component_type_default` on((`component_type_default`.`PK_COMPONENT_TYPE_DEFAULT_ID` = `components`.`FK_TYPE_ID`))) join `stage_default` on((`stage_default`.`PK_STAGE_DEFAULT_ID` = `system_control_test`.`FK_STAGE_ID`))) */;
/*!50001 SET character_set_client      = @saved_cs_client */;
/*!50001 SET character_set_results     = @saved_cs_results */;
/*!50001 SET collation_connection      = @saved_col_connection */;

--
-- Final view structure for view `cosa_results_report`
--

/*!50001 DROP VIEW IF EXISTS `cosa_results_report`*/;
/*!50001 SET @saved_cs_client          = @@character_set_client */;
/*!50001 SET @saved_cs_results         = @@character_set_results */;
/*!50001 SET @saved_col_connection     = @@collation_connection */;
/*!50001 SET character_set_client      = utf8 */;
/*!50001 SET character_set_results     = utf8 */;
/*!50001 SET collation_connection      = utf8_general_ci */;
/*!50001 CREATE ALGORITHM=UNDEFINED */
/*!50013 DEFINER=`mitre-cosa`@`%` SQL SECURITY DEFINER */
/*!50001 VIEW `cosa_results_report` AS select `system`.`PK_SYSTEM_ID` AS `SYSTEM_ID`,`system`.`NAME` AS `SYSTEM_NAME`,`security_control`.`NAME` AS `CONTROL_NAME`,`security_control`.`DESCRIPTION` AS `DESCRIPTION`,`work_item_status_default`.`NAME` AS `STATUS`,(case when (`work_item_status_default`.`NAME` = 'Risk Accepted') then 'Y' else '' end) AS `RISK_ACCEPTED`,`system_control_test`.`FREQUENCY` AS `FREQUENCY`,(case when ((`system_control_test_procedure_types_default`.`NAME` = 'manual') and isnull(`system_control_test`.`DEPENDS_ON_SYSTEM_ID`) and (`system_control_test`.`APPLICABLE` = 1)) then 'manual' when ((`system_control_test`.`FK_PROCEDURE_TYPE_ID` is not null) and (`system_control_test`.`APPLICABLE` = 1) and (`system_control_test_procedure_types_default`.`NAME` <> 'manual') and isnull(`system_control_test`.`DEPENDS_ON_SYSTEM_ID`)) then 'automated' when (`system_control_test`.`DEPENDS_ON_SYSTEM_ID` is not null) then 'inherited' end) AS `CHECK_METHOD`,(select `system`.`NAME` from `system` where (`system`.`PK_SYSTEM_ID` = `system_control_test`.`DEPENDS_ON_SYSTEM_ID`)) AS `INHERITED_FROM`,`work_item_result`.`EXPIRATION_DATE` AS `EXPIRATION_DATE`,`work_item_result`.`PK_WORK_ITEM_RESULT_ID` AS `PK_WORK_ITEM_RESULT_ID`,(select group_concat(`evidence_file`.`NAME` separator ',') from `evidence_file` where (`evidence_file`.`FK_WORKITEM_RESULT_ID` = `work_item_result`.`PK_WORK_ITEM_RESULT_ID`) group by `evidence_file`.`FK_WORKITEM_RESULT_ID`) AS `EVIDENCE_FILES` from (((((`work_item_result` join `system_control_test` on((`system_control_test`.`PK_SYSTEM_CONTROL_TEST_ID` = `work_item_result`.`FK_SYSTEM_CONTROL_TEST_ID`))) join `system_control_test_procedure_types_default` on((`system_control_test_procedure_types_default`.`PK_SYSTEM_CONTROL_TEST_PROCEDURE_TYPE_ID` = `system_control_test`.`FK_PROCEDURE_TYPE_ID`))) join `security_control` on((`security_control`.`PK_SECURITY_CONTROL_ID` = `system_control_test`.`FK_SECURITY_CONTROL_ID`))) join `system` on((`system`.`PK_SYSTEM_ID` = `system_control_test`.`FK_SYSTEM_ID`))) join `work_item_status_default` on((`work_item_status_default`.`PK_WORK_ITEM_STATUS_ID` = `work_item_result`.`FK_WORK_ITEM_STATUS_ID`))) where ((`system_control_test`.`APPLICABLE` = 1) and (`system`.`IS_REMOTE` <> 1)) order by `system`.`NAME` */;
/*!50001 SET character_set_client      = @saved_cs_client */;
/*!50001 SET character_set_results     = @saved_cs_results */;
/*!50001 SET collation_connection      = @saved_col_connection */;
/*!40103 SET TIME_ZONE=@OLD_TIME_ZONE */;

/*!40101 SET SQL_MODE=@OLD_SQL_MODE */;
/*!40014 SET FOREIGN_KEY_CHECKS=@OLD_FOREIGN_KEY_CHECKS */;
/*!40014 SET UNIQUE_CHECKS=@OLD_UNIQUE_CHECKS */;
/*!40101 SET CHARACTER_SET_CLIENT=@OLD_CHARACTER_SET_CLIENT */;
/*!40101 SET CHARACTER_SET_RESULTS=@OLD_CHARACTER_SET_RESULTS */;
/*!40101 SET COLLATION_CONNECTION=@OLD_COLLATION_CONNECTION */;
/*!40111 SET SQL_NOTES=@OLD_SQL_NOTES */;

-- Dump completed on 2020-02-11 14:59:26