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Overlay Privacy Control Baseline (CNSSI 1253)

Additions

This overlay adds the following controls.

Control	Description
AC-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] access control policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the access control policy and the associated access controls; b: Designate an [an official to manage the access control policy and procedures is defined;] to manage the development, documentation, and dissemination of the access control policy and procedures; and c: Review and update the current access control: 1: Policy [the frequency at which the current access control policy is reviewed and updated is defined;] and following [events that would require the current access control policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current access control procedures are reviewed and updated is defined;] and following [events that would require procedures to be reviewed and updated are defined;].
AC-8	a: Display [system use notification message or banner to be displayed by the system to users before granting access to the system is defined;] to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that: 1: Users are accessing a U.S. Government system; 2: System usage may be monitored, recorded, and subject to audit; 3: Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and 4: Use of the system indicates consent to monitoring and recording; b: Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and c: For publicly accessible systems: 1: Display system use information [conditions for system use to be displayed by the system before granting further access are defined;] , before granting further access to the publicly accessible system; 2: Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and 3: Include a description of the authorized uses of the system.
AT-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] awareness and training policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls; b: Designate an [an official to manage the awareness and training policy and procedures is defined;] to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and c: Review and update the current awareness and training: 1: Policy [the frequency at which the current awareness and training policy is reviewed and updated is defined;] and following [events that would require the current awareness and training policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current awareness and training procedures are reviewed and updated is defined;] and following [events that would require procedures to be reviewed and updated are defined;].
AT-2	a: Provide security and privacy literacy training to system users (including managers, senior executives, and contractors): 1: As part of initial training for new users and [one of ] thereafter; and 2: When required by system changes or following [one of ]; b: Employ the following techniques to increase the security and privacy awareness of system users [techniques to be employed to increase the security and privacy awareness of system users are defined;]; c: Update literacy training and awareness content [the frequency at which to update literacy training and awareness content is defined;] and following [events that would require literacy training and awareness content to be updated are defined;] ; and d: Incorporate lessons learned from internal or external security incidents or breaches into literacy training and awareness techniques.
AT-3	a: Provide role-based security and privacy training to personnel with the following roles and responsibilities: [one of ]: 1: Before authorizing access to the system, information, or performing assigned duties, and [the frequency at which to provide role-based security and privacy training to assigned personnel after initial training is defined;] thereafter; and 2: When required by system changes; b: Update role-based training content [the frequency at which to update role-based training content is defined;] and following [events that require role-based training content to be updated are defined;] ; and c: Incorporate lessons learned from internal or external security incidents or breaches into role-based training.
AT-3(5)	Provide [personnel or roles to be provided with initial and refresher training in the employment and operation of personally identifiable information processing and transparency controls is/are defined;] with initial and [the frequency at which to provide refresher training in the employment and operation of personally identifiable information processing and transparency controls is defined;] training in the employment and operation of personally identifiable information processing and transparency controls.
AT-4	a: Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and b: Retain individual training records for [time period for retaining individual training records is defined;].
AT-6	Provide feedback on organizational training results to the following personnel [frequency at which to provide feedback on organizational training results is defined;]: [personnel to whom feedback on organizational training results will be provided is/are assigned;].
AU-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] audit and accountability policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls; b: Designate an [an official to manage the audit and accountability policy and procedures is defined;] to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and c: Review and update the current audit and accountability: 1: Policy [the frequency at which the current audit and accountability policy is reviewed and updated is defined;] and following [events that would require the current audit and accountability policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current audit and accountability procedures are reviewed and updated is defined;] and following [events that would require audit and accountability procedures to be reviewed and updated are defined;].
AU-2	a: Identify the types of events that the system is capable of logging in support of the audit function: [the event types that the system is capable of logging in support of the audit function are defined;]; b: Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged; c: Specify the following event types for logging within the system: [one of ]; d: Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and e: Review and update the event types selected for logging [the frequency of event types selected for logging are reviewed and updated;].
AU-3(3)	Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: [elements identified in the privacy risk assessment are defined;].
AU-9	a: Protect audit information and audit logging tools from unauthorized access, modification, and deletion; and b: Alert [personnel or roles to be alerted upon detection of unauthorized access, modification, or deletion of audit information is/are defined;] upon detection of unauthorized access, modification, or deletion of audit information.
AU-10	Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed [actions to be covered by non-repudiation are defined;].
AU-11	Retain audit records for [a time period to retain audit records that is consistent with the records retention policy is defined;] to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.
AU-12	a: Provide audit record generation capability for the event types the system is capable of auditing as defined in [AU-2a](#au-2_smt.a) on [system components that provide an audit record generation capability for the events types (defined in AU-02_ODP[02]) are defined;]; b: Allow [personnel or roles allowed to select the event types that are to be logged by specific components of the system is/are defined;] to select the event types that are to be logged by specific components of the system; and c: Generate audit records for the event types defined in [AU-2c](#au-2_smt.c) that include the audit record content defined in [AU-3](#au-3).
CA-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] assessment, authorization, and monitoring policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls; b: Designate an [an official to manage the assessment, authorization, and monitoring policy and procedures is defined;] to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and c: Review and update the current assessment, authorization, and monitoring: 1: Policy [the frequency at which the current assessment, authorization, and monitoring policy is reviewed and updated is defined;] and following [events that would require the current assessment, authorization, and monitoring policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current assessment, authorization, and monitoring procedures are reviewed and updated is defined;] and following [events that would require assessment, authorization, and monitoring procedures to be reviewed and updated are defined;].
CA-2	a: Select the appropriate assessor or assessment team for the type of assessment to be conducted; b: Develop a control assessment plan that describes the scope of the assessment including: 1: Controls and control enhancements under assessment; 2: Assessment procedures to be used to determine control effectiveness; and 3: Assessment environment, assessment team, and assessment roles and responsibilities; c: Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment; d: Assess the controls in the system and its environment of operation [the frequency at which to assess controls in the system and its environment of operation is defined;] 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; e: Produce a control assessment report that document the results of the assessment; and f: Provide the results of the control assessment to [individuals or roles to whom control assessment results are to be provided are defined;].
CA-5	a: Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and b: Update existing plan of action and milestones [the frequency at which to update an existing plan of action and milestones based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities is defined;] based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities.
CA-6	a: Assign a senior official as the authorizing official for the system; b: Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems; c: Ensure that the authorizing official for the system, before commencing operations: 1: Accepts the use of common controls inherited by the system; and 2: Authorizes the system to operate; d: Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems; e: Update the authorizations [frequency at which to update the authorizations is defined;].
CA-7	Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes: a: Establishing the following system-level metrics to be monitored: [system-level metrics to be monitored are defined;]; b: Establishing [frequencies at which to monitor control effectiveness are defined;] for monitoring and [frequencies at which to assess control effectiveness are defined;] for assessment of control effectiveness; c: Ongoing control assessments in accordance with the continuous monitoring strategy; d: Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy; e: Correlation and analysis of information generated by control assessments and monitoring; f: Response actions to address results of the analysis of control assessment and monitoring information; and g: Reporting the security and privacy status of the system to [one of ] [one of ].
CA-7(4)	Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following: (a): Effectiveness monitoring; (b): Compliance monitoring; and (c): Change monitoring.
CM-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] configuration management policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls; b: Designate an [an official to manage the configuration management policy and procedures is defined;] to manage the development, documentation, and dissemination of the configuration management policy and procedures; and c: Review and update the current configuration management: 1: Policy [the frequency at which the current configuration management policy is reviewed and updated is defined;] and following [events that would require the current configuration management policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current configuration management procedures are reviewed and updated is defined;] and following [events that would require configuration management procedures to be reviewed and updated are defined;].
CM-4	Analyze changes to the system to determine potential security and privacy impacts prior to change implementation.
CP-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] contingency planning policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls; b: Designate an [an official to manage the contingency planning policy and procedures is defined;] to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and c: Review and update the current contingency planning: 1: Policy [the frequency at which the current contingency planning policy is reviewed and updated is defined;] and following [events that would require the current contingency planning policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current contingency planning procedures are reviewed and updated is defined;] and following [events that would require procedures to be reviewed and updated are defined;].
IA-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] identification and authentication policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls; b: Designate an [an official to manage the identification and authentication policy and procedures is defined;] to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and c: Review and update the current identification and authentication: 1: Policy [the frequency at which the current identification and authentication policy is reviewed and updated is defined;] and following [events that would require the current identification and authentication policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current identification and authentication procedures are reviewed and updated is defined;] and following [events that would require identification and authentication procedures to be reviewed and updated are defined;].
IR-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] incident response policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the incident response policy and the associated incident response controls; b: Designate an [an official to manage the incident response policy and procedures is defined;] to manage the development, documentation, and dissemination of the incident response policy and procedures; and c: Review and update the current incident response: 1: Policy [the frequency at which the current incident response policy is reviewed and updated is defined;] and following [events that would require the current incident response policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current incident response procedures are reviewed and updated is defined;] and following [events that would require the incident response procedures to be reviewed and updated are defined;].
IR-2	a: Provide incident response training to system users consistent with assigned roles and responsibilities: 1: Within [a time period within which incident response training is to be provided to system users assuming an incident response role or responsibility is defined;] of assuming an incident response role or responsibility or acquiring system access; 2: When required by system changes; and 3: [frequency at which to provide incident response training to users is defined;] thereafter; and b: Review and update incident response training content [frequency at which to review and update incident response training content is defined;] and following [events that initiate a review of the incident response training content are defined;].
IR-2(3)	Provide incident response training on how to identify and respond to a breach, including the organization’s process for reporting a breach.
IR-3	Test the effectiveness of the incident response capability for the system [frequency at which to test the effectiveness of the incident response capability for the system is defined;] using the following tests: [tests used to test the effectiveness of the incident response capability for the system are defined;].
IR-4	a: Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery; b: Coordinate incident handling activities with contingency planning activities; c: Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and d: Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization.
IR-4(7)	Coordinate an incident handling capability for insider threats that includes the following organizational entities [entities that require coordination for an incident handling capability for insider threats are defined;].
IR-5	Track and document incidents.
IR-6	a: Require personnel to report suspected incidents to the organizational incident response capability within [time period for personnel to report suspected incidents to the organizational incident response capability is defined;] ; and b: Report incident information to [authorities to whom incident information is to be reported are defined;].
IR-7	Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of incidents.
IR-8	a: Develop 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; 8: Addresses the sharing of incident information; 9: Is reviewed and approved by [personnel or roles that review and approve the incident response plan is/are identified;] [the frequency at which to review and approve the incident response plan is defined;] ; and 10: Explicitly designates responsibility for incident response to [entities, personnel, or roles with designated responsibility for incident response are defined;]. b: Distribute copies of the incident response plan to [incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed is/are defined;]; c: Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing; d: Communicate incident response plan changes to [one of ] ; and e: Protect the incident response plan from unauthorized disclosure and modification.
IR-8(1)	Include the following in the Incident Response Plan for breaches involving personally identifiable information: (a): A process to determine if notice to individuals or other organizations, including oversight organizations, is needed; (b): An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals and any mechanisms to mitigate such harms; and (c): Identification of applicable privacy requirements.
MP-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] media protection policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the media protection policy and the associated media protection controls; b: Designate an [an official to manage the media protection policy and procedures is defined;] to manage the development, documentation, and dissemination of the media protection policy and procedures; and c: Review and update the current media protection: 1: Policy [the frequency with which the current media protection policy is reviewed and updated is defined;] and following [events that would require the current media protection policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency with which the current media protection procedures are reviewed and updated is defined;] and following [events that would require media protection procedures to be reviewed and updated are defined;].
PE-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] physical and environmental protection policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls; b: Designate an [an official to manage the physical and environmental protection policy and procedures is defined;] to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and c: Review and update the current physical and environmental protection: 1: Policy [the frequency at which the current physical and environmental protection policy is reviewed and updated is defined;] and following [events that would require the current physical and environmental protection policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current physical and environmental protection procedures are reviewed and updated is defined;] and following [events that would require the physical and environmental protection procedures to be reviewed and updated are defined;].
PE-2	a: Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides; b: Issue authorization credentials for facility access; c: Review the access list detailing authorized facility access by individuals [frequency at which to review the access list detailing authorized facility access by individuals is defined;] ; and d: Remove individuals from the facility access list when access is no longer required.
PE-8	a: Maintain visitor access records to the facility where the system resides for [time period for which to maintain visitor access records for the facility where the system resides is defined;]; b: Review visitor access records [the frequency at which to review visitor access records is defined;] ; and c: Report anomalies in visitor access records to [personnel to whom visitor access records anomalies are reported to is/are defined;].
PE-8(3)	Limit personally identifiable information contained in visitor access records to the following elements identified in the privacy risk assessment: [elements identified in the privacy risk assessment to limit personally identifiable information contained in visitor access logs are defined;].
PL-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] planning policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the planning policy and the associated planning controls; b: Designate an [an official to manage the planning policy and procedures is defined;] to manage the development, documentation, and dissemination of the planning policy and procedures; and c: Review and update the current planning: 1: Policy [the frequency with which the current planning policy is reviewed and updated is defined;] and following [events that would require the current planning policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency with which the current planning procedures are reviewed and updated is defined;] and following [events that would require procedures to be reviewed and updated are defined;].
PL-2	a: Develop security and privacy plans for the system that: 1: Are consistent with the organization’s enterprise architecture; 2: Explicitly define the constituent system components; 3: Describe the operational context of the system in terms of mission and business processes; 4: Identify the individuals that fulfill system roles and responsibilities; 5: Identify the information types processed, stored, and transmitted by the system; 6: Provide the security categorization of the system, including supporting rationale; 7: Describe any specific threats to the system that are of concern to the organization; 8: Provide the results of a privacy risk assessment for systems processing personally identifiable information; 9: Describe the operational environment for the system and any dependencies on or connections to other systems or system components; 10: Provide an overview of the security and privacy requirements for the system; 11: Identify any relevant control baselines or overlays, if applicable; 12: Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions; 13: Include risk determinations for security and privacy architecture and design decisions; 14: Include security- and privacy-related activities affecting the system that require planning and coordination with [individuals or groups with whom security and privacy-related activities affecting the system that require planning and coordination is/are assigned;] ; and 15: Are reviewed and approved by the authorizing official or designated representative prior to plan implementation. b: Distribute copies of the plans and communicate subsequent changes to the plans to [personnel or roles to receive distributed copies of the system security and privacy plans is/are assigned;]; c: Review the plans [frequency to review system security and privacy plans is defined;]; d: Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and e: Protect the plans from unauthorized disclosure and modification.
PL-4	a: Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy; b: Receive a documented acknowledgment 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 system; c: Review and update the rules of behavior [frequency for reviewing and updating the rules of behavior is defined;] ; and d: Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge [one or more of "{{ insert: param, pl-04_odp.03 }} "/"when the rules are revised or updated"].
PL-4(1)	Include in the rules of behavior, restrictions on: (a): Use of social media, social networking sites, and external sites/applications; (b): Posting organizational information on public websites; and (c): Use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications.
PL-9	Centrally manage [security and privacy controls and related processes to be centrally managed are defined;].
PL-10	Select a control baseline for the system.
PL-11	Tailor the selected control baseline by applying specified tailoring actions.
PM-1	a: Develop and disseminate 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 the coordination among organizational entities responsible for information security; 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: Review and update the organization-wide information security program plan [the frequency at which to review and update the organization-wide information security program plan is defined;] and following [events that trigger the review and update of the organization-wide information security program plan are defined;] ; and c: Protect the information security program plan from unauthorized disclosure and modification.
PM-3	a: Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement; b: Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, executive orders, directives, policies, regulations, standards; and c: Make available for expenditure, the planned information security and privacy resources.
PM-4	a: Implement a process to ensure that plans of action and milestones for the information security, privacy, and supply chain risk management programs and associated organizational systems: 1: Are developed and maintained; 2: Document the remedial information security, privacy, and supply chain risk management actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and 3: Are reported in accordance with established reporting requirements. b: Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
PM-5	Develop and update [the frequency at which to update the inventory of organizational systems is defined;] an inventory of organizational systems.
PM-5(1)	Establish, maintain, and update [the frequency at which to update the inventory of systems, applications, and projects that process personally identifiable information is defined;] an inventory of all systems, applications, and projects that process personally identifiable information.
PM-6	Develop, monitor, and report on the results of information security and privacy measures of performance.
PM-7	Develop and maintain an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation.
PM-8	Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.
PM-9	a: Develops a comprehensive strategy to manage: 1: Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems; and 2: Privacy risk to individuals resulting from the authorized processing of personally identifiable information; b: Implement the risk management strategy consistently across the organization; and c: Review and update the risk management strategy [the frequency at which to review and update the risk management strategy is defined;] or as required, to address organizational changes.
PM-10	a: Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes; b: Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and c: Integrate the authorization processes into an organization-wide risk management program.
PM-11	a: Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and b: Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and c: Review and revise the mission and business processes [the frequency at which to review and revise the mission and business processes is defined;].
PM-13	Establish a security and privacy workforce development and improvement program.
PM-14	a: Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems: 1: Are developed and maintained; and 2: Continue to be executed; and b: Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
PM-17	a: Establish policy and procedures to ensure that requirements for the protection of controlled unclassified information that is processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, executive orders, directives, policies, regulations, and standards; and b: Review and update the policy and procedures [one of ].
PM-18	a: Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency’s privacy program, and: 1: Includes a description of the structure of the privacy program and the resources dedicated to the privacy program; 2: Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements; 3: Includes the role of the senior agency official for privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities; 4: Describes management commitment, compliance, and the strategic goals and objectives of the privacy program; 5: Reflects coordination among organizational entities responsible for the different aspects of privacy; and 6: Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and b: Update the plan [the frequency of updates to the privacy program plan is defined;] and to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control assessments.
PM-19	Appoint a senior agency official for privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program.
PM-20	Maintain a central resource webpage on the organization’s principal public website that serves as a central source of information about the organization’s privacy program and that: a: Ensures that the public has access to information about organizational privacy activities and can communicate with its senior agency official for privacy; b: Ensures that organizational privacy practices and reports are publicly available; and c: Employs publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy practices.
PM-20(1)	Develop and post privacy policies on all external-facing websites, mobile applications, and other digital services, that: (a): Are written in plain language and organized in a way that is easy to understand and navigate; (b): Provide information needed by the public to make an informed decision about whether and how to interact with the organization; and (c): Are updated whenever the organization makes a substantive change to the practices it describes and includes a time/date stamp to inform the public of the date of the most recent changes.
PM-22	Develop and document organization-wide policies and procedures for: a: Reviewing for the accuracy, relevance, timeliness, and completeness of personally identifiable information across the information life cycle; b: Correcting or deleting inaccurate or outdated personally identifiable information; c: Disseminating notice of corrected or deleted personally identifiable information to individuals or other appropriate entities; and d: Appeals of adverse decisions on correction or deletion requests.
PM-23	Establish a Data Governance Body consisting of [the roles of a Data Governance Body are defined;] with [the responsibilities of a Data Governance Body are defined;].
PM-24	Establish a Data Integrity Board to: a: Review proposals to conduct or participate in a matching program; and b: Conduct an annual review of all matching programs in which the agency has participated.
PM-25	a: Develop, document, and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research; b: Limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes; c: Authorize the use of personally identifiable information when such information is required for internal testing, training, and research; and d: Review and update policies and procedures [one of ].
PM-26	Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational security and privacy practices that includes: a: Mechanisms that are easy to use and readily accessible by the public; b: All information necessary for successfully filing complaints; c: Tracking mechanisms to ensure all complaints received are reviewed and addressed within [one of ]; d: Acknowledgement of receipt of complaints, concerns, or questions from individuals within [the time period for acknowledging the receipt of complaints is defined;] ; and e: Response to complaints, concerns, or questions from individuals within [the time period for responding to complaints is defined;].
PM-27	a: Develop [privacy reports are defined;] and disseminate to: 1: [privacy oversight bodies are defined;] to demonstrate accountability with statutory, regulatory, and policy privacy mandates; and 2: [officials responsible for monitoring privacy program compliance are defined;] and other personnel with responsibility for monitoring privacy program compliance; and b: Review and update privacy reports [the frequency for reviewing and updating privacy reports is defined;].
PM-28	a: Identify and document: 1: Assumptions affecting risk assessments, risk responses, and risk monitoring; 2: Constraints affecting risk assessments, risk responses, and risk monitoring; 3: Priorities and trade-offs considered by the organization for managing risk; and 4: Organizational risk tolerance; b: Distribute the results of risk framing activities to [the personnel to receive the results of risk framing activities is/are defined;] ; and c: Review and update risk framing considerations [the frequency for reviewing and updating risk framing considerations is defined;].
PM-29	a: Appoint a Senior Accountable Official for Risk Management to align organizational information security and privacy management processes with strategic, operational, and budgetary planning processes; and b: Establish a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the organization.
PM-30	a: Develop an organization-wide strategy for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services; b: Implement the supply chain risk management strategy consistently across the organization; and c: Review and update the supply chain risk management strategy on [the frequency for reviewing and updating the supply chain risk management strategy is defined;] or as required, to address organizational changes.
PM-31	Develop an organization-wide continuous monitoring strategy and implement continuous monitoring programs that include: a: Establishing the following organization-wide metrics to be monitored: [the metrics for organization-wide continuous monitoring are defined;]; b: Establishing [the frequencies for monitoring are defined;] and [the frequencies for assessing control effectiveness are defined;] for control effectiveness; c: Ongoing monitoring of organizationally-defined metrics in accordance with the continuous monitoring strategy; d: Correlation and analysis of information generated by control assessments and monitoring; e: Response actions to address results of the analysis of control assessment and monitoring information; and f: Reporting the security and privacy status of organizational systems to [one of ] [one of ].
PS-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] personnel security policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls; b: Designate an [an official to manage the personnel security policy and procedures is defined;] to manage the development, documentation, and dissemination of the personnel security policy and procedures; and c: Review and update the current personnel security: 1: Policy [the frequency at which the current personnel security policy is reviewed and updated is defined;] and following [events that would require the current personnel security policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current personnel security procedures are reviewed and updated is defined;] and following [events that would require the personnel security procedures to be reviewed and updated are defined;].
PS-6	a: Develop and document access agreements for organizational systems; b: Review and update the access agreements [the frequency at which to review and update access agreements is defined;] ; and c: Verify that individuals requiring access to organizational information and systems: 1: Sign appropriate access agreements prior to being granted access; and 2: Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or [the frequency at which to re-sign access agreements to maintain access to organizational information is defined;].
PS-8	a: Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and b: Notify [personnel or roles to be notified when a formal employee sanctions process is initiated is/are defined;] within [the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated is defined;] when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.
PS-9	Incorporate security and privacy roles and responsibilities into organizational position descriptions.
PT-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] personally identifiable information processing and transparency policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and the associated personally identifiable information processing and transparency controls; b: Designate an [an official to manage the personally identifiable information processing and transparency policy and procedures is defined;] to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures; and c: Review and update the current personally identifiable information processing and transparency: 1: Policy [the frequency at which the current personally identifiable information processing and transparency policy is reviewed and updated is defined;] and following [events that would require the current personally identifiable information processing and transparency policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current personally identifiable information processing and transparency procedures are reviewed and updated is defined;] and following [events that would require the personally identifiable information processing and transparency procedures to be reviewed and updated are defined;].
RA-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] risk assessment policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls; b: Designate an [an official to manage the risk assessment policy and procedures is defined;] to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and c: Review and update the current risk assessment: 1: Policy [the frequency at which the current risk assessment policy is reviewed and updated is defined;] and following [events that would require the current risk assessment policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current risk assessment procedures are reviewed and updated is defined;] and following [events that would require risk assessment procedures to be reviewed and updated are defined;].
RA-2	a: Categorize the system and information it processes, stores, and transmits; b: Document the security categorization results, including supporting rationale, in the security plan for the system; and c: Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.
RA-3	a: Conduct a risk assessment, including: 1: Identifying threats to and vulnerabilities in the system; 2: Determining the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and 3: Determining the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information; b: Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments; c: Document risk assessment results in [one of "security and privacy plans"/"risk assessment report"/"{{ insert: param, ra-03_odp.02 }} "]; d: Review risk assessment results [the frequency to review risk assessment results is defined;]; e: Disseminate risk assessment results to [personnel or roles to whom risk assessment results are to be disseminated is/are defined;] ; and f: Update the risk assessment [the frequency to update the risk assessment is defined;] or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.
RA-7	Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance.
SA-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] system and services acquisition policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls; b: Designate an [an official to manage the system and services acquisition policy and procedures is defined;] to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and c: Review and update the current system and services acquisition: 1: Policy [the frequency at which the current system and services acquisition policy is reviewed and updated is defined;] and following [events that would require the current system and services acquisition policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current system and services acquisition procedures are reviewed and updated is defined;] and following [events that would require the system and services acquisition procedures to be reviewed and updated are defined;].
SA-8(33)	Implement the privacy principle of minimization using [processes that implement the privacy principle of minimization are defined;].
SA-9	a: Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: [controls to be employed by external system service providers are defined;]; b: Define and document organizational oversight and user roles and responsibilities with regard to external system services; and c: Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: [processes, methods, and techniques employed to monitor control compliance by external service providers are defined;].
SA-11	Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to: a: Develop and implement a plan for ongoing security and privacy control assessments; b: Perform [one or more of "unit"/"integration"/"system"/"regression"] testing/evaluation [frequency at which to conduct {{ insert: param, sa-11_odp.01 }} testing/evaluation is defined;] at [depth and coverage of {{ insert: param, sa-11_odp.01 }} testing/evaluation is defined;]; c: Produce evidence of the execution of the assessment plan and the results of the testing and evaluation; d: Implement a verifiable flaw remediation process; and e: Correct flaws identified during testing and evaluation.
SC-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business-process-level"/"system-level"] system and communications protection policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls; b: Designate an [an official to manage the system and communications protection policy and procedures is defined;] to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and c: Review and update the current system and communications protection: 1: Policy [the frequency at which the current system and communications protection policy is reviewed and updated is defined;] and following [events that would require the current system and communications protection policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current system and communications protection procedures are reviewed and updated is defined;] and following [events that would require the system and communications protection procedures to be reviewed and updated are defined;].
SI-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] system and information integrity policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls; b: Designate an [an official to manage the system and information integrity policy and procedures is defined;] to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and c: Review and update the current system and information integrity: 1: Policy [the frequency at which the current system and information integrity policy is reviewed and updated is defined;] and following [events that would require the current system and information integrity policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current system and information integrity procedures are reviewed and updated is defined;] and following [events that would require the system and information integrity procedures to be reviewed and updated are defined;].
SI-12	Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements.
SR-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] supply chain risk management policy that: (a): Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b): Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2: Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls; b: Designate an [an official to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures is defined;] to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and c: Review and update the current supply chain risk management: 1: Policy [the frequency at which the current supply chain risk management policy is reviewed and updated is defined;] and following [events that require the current supply chain risk management policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current supply chain risk management procedure is reviewed and updated is defined;] and following [events that require the supply chain risk management procedures to be reviewed and updated are defined;].

Removals

This overlay removes the following controls.

Control	Description
No controls