NIST SP 800-53 Revision 5 Updates LGS V3 - Tevora
NIST SP 800-53 Revision 5 Updates
Luke Mueller and Jeana Cosenza
CONFIDENTIAL: This report is confidential for the sole use of the intended recipient(s). If you are not the intended recipient, please do not use, disclose, or distribute.
August 19, 2019
NIST SP 800-53 Revision 5 Updates ? Family Control Changes and Impact
Table of Contents
Table of Contents
TABLE OF CONTENTS....................................................................................................................................................................... 2 WHAT IS NIST SP 800-53? ........................................................................................................................................................... 3
HOW DOES THIS RELATE TO FISMA AND FEDRAMP?................................................................................................................ 3 BASELINES ................................................................................................................................................................................... 4
IMPORTANT CHANGES IN REVISION 5.............................................................................................................................................. 5
CHANGES IN THE TITLE................................................................................................................................................................ 5 EMPHASIS ON PRIVACY ............................................................................................................................................................... 5 INCREASES IN PROGRAM MANAGEMENT..................................................................................................................................... 6 CHANGES TO THE FIRST CONTROL OF ALL CONTROL FAMILIES ................................................................................................. 6 CHANGES IN LANGUAGE .............................................................................................................................................................. 7
COMPLIANCE DEADLINE ESTIMATION.............................................................................................................................................. 8 FAMILY CONTROL CHANGES AND IMPACT ...................................................................................................................................... 9
ACCESS CONTROL (AC)............................................................................................................................................................... 9 AWARENESS AND TRAINING (AT)................................................................................................................................................ 9 ASSESSMENT, AUTHORIZATION, AND MONITORING (CA) ........................................................................................................... 9 CONFIGURATION MANAGEMENT (CM)......................................................................................................................................10 CONTINGENCY PLANNING (CP).................................................................................................................................................11 IDENTIFICATION AND AUTHENTICATION (IA) ............................................................................................................................. 11 INDIVIDUAL PARTICIPATION (IP)................................................................................................................................................12 INCIDENT RESPONSE (IR) .......................................................................................................................................................... 12 MAINTENANCE (MA) ................................................................................................................................................................. 13 MEDIA PROTECTION (MP).........................................................................................................................................................13 PRIVACY AUTHORIZATION (PA).................................................................................................................................................14 PHYSICAL AND ENVIRONMENTAL PROTECTION (PE) ................................................................................................................ 14 PLANNING (PL) ......................................................................................................................................................................... 15 PROGRAM MANAGEMENT (PM) ................................................................................................................................................ 15 PERSONNEL SECURITY (PS)......................................................................................................................................................15 RISK ASSESSMENT (RA)............................................................................................................................................................ 16 SYSTEM AND SERVICES ACQUISITION (SA)...............................................................................................................................16 SYSTEM AND COMMUNICATION PROTECTION (SC) .................................................................................................................. 17 SYSTEM AND INFORMATION INTEGRITY (SI) ............................................................................................................................. 17
CONCLUSION.................................................................................................................................................................................. 19
KEY IMPACTS.............................................................................................................................................................................19 IMPACT ON TEVORA...................................................................................................................................................................19
RESOURCES ................................................................................................................................................................................... 20 APPENDIX....................................................................................................................................................................................... 21
APPENDIX A ? TERMS AND DEFINITIONS .................................................................................................................................. 21 APPENDIX B ? CONTROL MARKUP............................................................................................................................................ 21 APPENDIX C- BASELINES MARKUP ........................................................................................................................................... 21 APPENDIX D ? BASELINE CHANGES IMPACT.............................................................................................................................21
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NIST SP 800-53 Revision 5 Updates ? Family Control Changes and Impact
What is NIST SP 800-53?
What is NIST SP 800-53?
NIST Special Publication 800-53 is a publication by the National Institute of Standards and Technology (NIST) to set an information security standard for the federal government. Specifically, NIST SP 800-53 (also known as NIST 800-53) establishes security and privacy controls for all federal information systems and organizations excluding systems involved with national security. The goal of NIST 800-53 is to protect operations, assets, individuals, other organizations, and the nation from a diverse set of threats such as hostile attacks, human error, and natural disasters. These controls are written to be flexible and customizable to assist organizations in implementation.
NIST 800-53 Revision 5 (Rev. 5) creates a baseline of safeguarding measures for all types of computing platforms for both public and private sector organizations. The intention of Rev. 5 is to develop a next generation of security and privacy controls that to protect critical and essential systems for operation along with personal privacy of individuals.
How does this relate to FISMA and FedRAMP?
The Federal Information Security Modernization Act (FISMA) was passed in 2002 and updated in 2014. FISMA requires the implementation of information security controls that employ a risk-based approach. It applies to all federal government agencies, state agencies with federal programs, and private-sector firms that support, sell to, or receive services from the government. The framework of FISMA is NIST 800-53 and organizations that are FISMA-compliant are awarded an Authority to Operate (ATO). A FISMA ATO only applies to one combination of agency and organization. If an organization wants to work with multiple agencies, multiple ATOs are required, each with its own independent certification process.
The Federal Risk and Authorization Management Program (FedRAMP) was designed to enable easier contracting for federal agencies with cloud service providers (CSP). Like FISMA, the controls outlined in FedRAMP are based off the controls in NIST 800-53. The process of a FedRAMP certification requires a third-party assessment organization (3PAO) to assess security controls of the CSP's service by completing a Security Assessment Plan (SAP), performing initial and periodic assessments of the CSP's security controls, and producing a Security Assessment Report (SAR). The SAP, SAR, and the CSP's System Security Plan are then submitted to the Joint Authorization Board (JAB) or an agency for review. If authorized, the CSP's services are placed on the FedRAMP Marketplace for other agencies to find services that meet their needs as well as meet security requirements. After an authorization is granted to the CSP, the 3PAO performs annual testing and assists in any deviation requests, significant changes, or monthly assessments. The acquisition of an ATO requires a rigorous certification process compared to FISMA. FedRAMP is only applicable to CSPs and any agency planning to employ CSP systems.
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Baselines
NIST SP 800-53 Revision 5 Updates ? Family Control Changes and Impact What is NIST SP 800-53?
Federal Information Processing Standards Publication 199 (FIPS 199), published by NIST, establishes the standard for the security baseline categorization of all federal information and information systems. FISMA requires that all information and information systems are categorized according to risk levels.
FIPS 199 categorizes information and information systems into three potential impact baselines:
? Low ? loss of confidentiality, integrity, or availability could be expected to have a limited adverse effect on organizational operations, organizational assets, or individuals.
? Moderate ? loss of confidentiality, integrity, or availability could be expected to have a serious adverse effect on organizational operations, organizational assets, or individuals.
? High ? loss of confidentiality, integrity, or availability could be expected to have a severe or catastrophic adverse effect on organizational operations, organizational assets, or individuals.
FIPS 200 establishes the minimum security requirements and related areas for federal information and information systems. The related security areas stated in FIPS 200 coincide with the control family categories of NIST 800-53.
Based off FIPS 199 and 200, NIST 800-53 determines which controls and control enhancements are required to be implemented to meet the minimum requirements for each baseline impact level.
Since FIPS documentation only establishes baseline requirements for security controls, privacy controls in NIST 800-53 are not included in the baseline requirements. Any privacy control that NIST determines as required must be implemented regardless of baseline levels.
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NIST SP 800-53 Revision 5 Updates ? Family Control Changes and Impact
Important Changes in Revision 5
Important Changes in Revision 5
Changes in the Title
In Rev. 5, NIST has removed `Federal' from the title of SP 800-53; the new title is "Security and Privacy Controls for Information Systems and Organizations." While the framework is only required for federal systems, NIST believes the document will be more accessible to non-federal and private organizations and encourage organizations to use the standards and guidelines in the creation, modification, or updating of their systems.
Emphasis on Privacy
Rev. 5 places a much larger focus on privacy than its predecessor, Rev. 4, and aims to bring privacy to the forefront of the system design and implementation process. In Rev. 4, a separate appendix existed solely for privacy controls and they were not incorporated into security controls. In the new revision, NIST incorporated the privacy control families into the existing security controls to create joint security and privacy controls.
Table F-1 of Appendix F: Consolidated View of Privacy Controls in Rev. 5 distinguishes joint security and privacy controls from those controls only related to privacy. Table F-1 also classifies each of the controls and enhancements as required (R), situationally required (S), or discretionary (D). If any privacy-related controls are being implemented, they must be implemented for any baseline level. NIST 800-53 offers guidance for tailoring controls for specific needs in Appendix G: Tailoring Considerations. Privacy-related controls exist outside of the FIPS-199 baselines because the document only establishes those baselines for security controls. Appendix D: Control Baselines states which security controls and enhancements are required for each baseline in Table D-1. If a control is classified as a joint control, organizations can decide whether they want to do a joint implementation of the control or implement the security and privacy aspects of the control separately. Therefore, Table D-1 also includes the implementation requirements for joint controls, even though they are classified as privacy-related.
While most of the privacy control family titles were eliminated during incorporation, Individual Participation (IP) was left as its own control and expanded upon as a main control. In total, IP contains six controls and five controls enhancement to address:
? User-facing privacy controls (including consent) ? Redress (regarding data accuracy and corrections to inaccurate data) ? Access to an individual's information that is maintained record systems ? The need for and distribution of privacy notices
While IP is not a completely new control family, its incorporation into the security controls is new.
Since compliance to IP is strictly privacy-related, privacy programs have the sole authority to select and oversee this control family, resulting in the need to be compliant with the privacy control requirements. In Appendix F: Consolidated View of Privacy Controls, only IP-1 is required while IP-2 through IP-6 are noted as situationally required. On top of the controls, the control enhancements IP-3 (1) and (2) are situationally required. Privacy programs must evaluate these controls and the enhancements to determine if they should be selected and implemented.
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