NIST SP 800-53A

Special Publication 800-53A	Guide for Assessing the Security Controls in
	Federal Information Systems and Organizations

________________________________________________________________________________________________

IA-5(1)	AUTHENTICATOR MANAGEMENT

IA-5(1).1 ASSESSMENT OBJECTIVE:

Determine if:

(i)the organization defines the minimum password complexity requirements to be enforced for case sensitivity, the number of characters, and the mix of upper-case letters, lower-case letters, numbers, and special characters including minimum requirements for each type;

(ii)the organization defines the minimum number of characters that must be changed when new passwords are created;

(iii)the organization defines the restrictions to be enforced for password minimum lifetime and password maximum lifetime parameters;

(iv)the organization defines the number of generations for which password reuse is prohibited; and

(v)the information system, for password-based authentication:

-enforces the minimum password complexity standards that meet the organization-defined requirements;

-enforces the organization-defined minimum number of characters that must be changed when new passwords are created;

-encrypts passwords in storage and in transmission;

-enforces the organization-defined restrictions for password minimum lifetime and password maximum lifetime parameters; and

-prohibits password reuse for the organization-defined number of generations.

POTENTIAL ASSESSMENT METHODS AND OBJECTS:

Examine: [SELECT FROM: Identification and authentication policy; password policy; procedures addressing authenticator management; security plan; information system design documentation; information system configuration settings and associated documentation; other relevant documents or records].

Test: [SELECT FROM: Automated mechanisms implementing authenticator management functions].

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	IA-5(2)		AUTHENTICATOR MANAGEMENT
	IA-5(2).1		ASSESSMENT OBJECTIVE:
			Determine if the information system, for PKI-based authentication:
			- validates certificates by constructing a certification path with status information to an
			accepted trust anchor;
			- enforces authorized access to the corresponding private key; and
			- maps the authenticated identity to the user account.
			POTENTIAL ASSESSMENT METHODS AND OBJECTS:
			Examine: [SELECT FROM: Identification and authentication policy; procedures addressing authenticator
			management; security plan; information system design documentation; information system
			configuration settings and associated documentation; PKI certification revocation lists; other
			relevant documents or records].
			Interview: [SELECT FROM: Organizational personnel with responsibilities for PKI-based authentication
			management].
			Test: [SELECT FROM: Automated mechanisms implementing PKI-based authenticator management
			functions].
	IA-5(3)		AUTHENTICATOR MANAGEMENT
	IA-5(3).1		ASSESSMENT OBJECTIVE:
			Determine if:
			(i) the organization defines the types of and/or specific authenticators for which the
			registration process must be carried out in person before a designated registration
			authority with authorization by a designated organizational official; and
			(ii) the organization requires that the registration process to receive organization-
			defined types of and/or specific authenticators be carried out in person before a
			designated registration authority with authorization by a designated organizational
			official (e.g., a supervisor).

POTENTIAL ASSESSMENT METHODS AND OBJECTS:

Examine: [SELECT FROM: Identification and authentication policy; procedures addressing authenticator management; list of authenticators that require in-person registration; authenticator registration documentation; other relevant documents or records].

Interview: [SELECT FROM: Organizational personnel with authenticator management responsibilities].

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IA-5(4)	AUTHENTICATOR MANAGEMENT
IA-5(4).1	ASSESSMENT OBJECTIVE:
	Determine if the organization employs automated tools to determine if authenticators are
	sufficiently strong to resist attacks intended to discover or otherwise compromise the
	authenticators.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Identification and authentication policy; procedures addressing authenticator
	management; information system design documentation; information system configuration
	settings and associated documentation; automated tools for testing authenticators; other
	relevant documents or records].
	Interview: [SELECT FROM: Organizational personnel with authenticator management responsibilities].
	Test: [SELECT FROM: Automated mechanisms for authenticator strength].
IA-5(5)	AUTHENTICATOR MANAGEMENT
IA-5(5).1	ASSESSMENT OBJECTIVE:
	Determine if the organization requires vendors and/or manufacturers of information
	system components to provide unique authenticators or change default authenticators
	prior to delivery.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Identification and authentication policy; system and services acquisition
	policy; procedures addressing authenticator management; procedures addressing the
	integration of security requirements into the acquisition process; acquisition documentation;
	acquisition contracts for information system procurements or services; other relevant
	documents or records].
	Interview: [SELECT FROM: Organizational personnel with authenticator management responsibilities;
	organizational personnel with information system security, acquisition, and contracting
	responsibilities].
IA-5(6)	AUTHENTICATOR MANAGEMENT
IA-5(6).1	ASSESSMENT OBJECTIVE:
	Determine if the organization protects authenticators commensurate with the
	classification or sensitivity of the information accessed.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Identification and authentication policy; procedures addressing authenticator
	management; information classification or sensitivity documentation; security categorization
	documentation for the information system; security assessments of authenticator
	protections; risk assessment results; security plan; other relevant documents or records].
	Interview: [SELECT FROM: Organizational personnel with authenticator management responsibilities;
	organizational personnel implementing and/or maintaining authenticator protections].

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IA-5(7)	AUTHENTICATOR MANAGEMENT
IA-5(7).1	ASSESSMENT OBJECTIVE:
	Determine if the organization ensures that unencrypted static authenticators are not
	embedded in applications or access scripts or stored on function keys.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Identification and authentication policy; procedures addressing authenticator
	management; information system design documentation; information system configuration
	settings and associated documentation; logical access scripts; application code reviews for
	detecting unencrypted static authenticators; other relevant documents or records].
IA-5(8)	AUTHENTICATOR MANAGEMENT
IA-5(8).1	ASSESSMENT OBJECTIVE:
	Determine if:
	(i) the organization defines measures taken to manage the risk of compromise due to
	individuals having accounts on multiple information systems; and
	(ii) the organization takes organization-defined measures to manage the risk of
	compromise due to individuals having accounts on multiple information systems.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Identification and authentication policy; procedures addressing authenticator
	management; security plan; list of individuals having accounts on multiple information
	systems; list of measures intended to manage risk of compromise due to individuals having
	accounts on multiple information systems ; other relevant documents or records].

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FAMILY: IDENTIFICATION AND AUTHENTICATION		CLASS: TECHNICAL
	ASSESSMENT PROCEDURE
IA-6	AUTHENTICATOR FEEDBACK
IA-6.1	ASSESSMENT OBJECTIVE:
	Determine if the information system obscures feedback of authentication information
	during the authentication process to protect the information from possible
	exploitation/use by unauthorized individuals.

POTENTIAL ASSESSMENT METHODS AND OBJECTS:

Examine: [SELECT FROM: Identification and authentication policy; procedures addressing authenticator feedback; information system design documentation; information system configuration settings and associated documentation; other relevant documents or records].

Test: [SELECT FROM: Automated mechanisms implementing authenticator feedback].

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FAMILY: IDENTIFICATION AND AUTHENTICATION		CLASS: TECHNICAL
	ASSESSMENT PROCEDURE
IA-7	CRYPTOGRAPHIC MODULE AUTHENTICATION
IA-7.1	ASSESSMENT OBJECTIVE:
	Determine if the information system uses 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.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Identification and authentication policy; procedures addressing cryptographic
	module authentication; information system design documentation; information system
	configuration settings and associated documentation; other relevant documents or records].
	Test: [SELECT FROM: Automated mechanisms implementing cryptographic module authentication].

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FAMILY: IDENTIFICATION AND AUTHENTICATION		CLASS: TECHNICAL
	ASSESSMENT PROCEDURE
IA-8	IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
IA-8.1	ASSESSMENT OBJECTIVE:
	Determine if the information system uniquely identifies and authenticates non-
	organizational users (or processes acting on behalf of non-organizational users).
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Identification and authentication policy; procedures addressing user
	identification and authentication; information system design documentation; information
	system configuration settings and associated documentation; information system audit
	records; list of information system accounts; other relevant documents or records].
	Test: [SELECT FROM: Automated mechanisms implementing identification and authentication capability
	for the information system].

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Special Publication 800-53A	Guide for Assessing the Security Controls in
	Federal Information Systems and Organizations

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FAMILY: INCIDENT RESPONSE				CLASS: OPERATIONAL
			ASSESSMENT PROCEDURE
IR-1	INCIDENT RESPONSE POLICY AND PROCEDURES
IR-1.1	ASSESSMENT OBJECTIVE:
	Determine if:
	(i)	the organization develops and formally documents incident response policy;
	(ii)	the organization incident response policy addresses:
		-	purpose;
		-	scope;
		-	roles and responsibilities;
		-	management commitment;
		- coordination among organizational entities; and
		-	compliance;
	(iii)	the organization disseminates formal documented incident response policy to
		elements within the organization having associated incident response roles and
		responsibilities;
	(iv)	the organization develops and formally documents incident response procedures;
	(v)	the organization incident response procedures facilitate implementation of the
		incident response policy and associated incident response controls; and
	(vi)	the organization disseminates formal documented incident response procedures to
		elements within the organization having associated incident response roles and
		responsibilities.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Incident response policy and procedures; other relevant documents or
			records].
	Interview: [SELECT FROM: Organizational personnel with incident response responsibilities].
IR-1.2	ASSESSMENT OBJECTIVE:
	Determine if:
	(i)	the organization defines the frequency of incident response policy reviews/updates;
	(ii)	the organization reviews/updates incident response policy in accordance with
		organization-defined frequency;
	(iii)	the organization defines the frequency of incident response procedure
		reviews/updates; and
	(iv) the organization reviews/updates incident response procedures in accordance with
		organization-defined frequency.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Incident response policy and procedures; other relevant documents or
			records].
	Interview: [SELECT FROM: Organizational personnel with incident response responsibilities].

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FAMILY: INCIDENT RESPONSE		CLASS: OPERATIONAL
	ASSESSMENT PROCEDURE
IR-2	INCIDENT RESPONSE TRAINING
IR-2.1	ASSESSMENT OBJECTIVE:
	Determine if:
	(i) the organization identifies personnel with incident response roles and
	responsibilities with respect to the information system;
	(ii) the organization provides incident response training to personnel with incident
	response roles and responsibilities with respect to the information system;
	(iii) incident response training material addresses the procedures and activities
	necessary to fulfill identified organizational incident response roles and
	responsibilities;
	(iv) the organization defines the frequency of refresher incident response training; and
	(v) the organization provides refresher incident response training in accordance with
	the organization-defined frequency.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Incident response policy; procedures addressing incident response training;
	incident response training material; security plan; incident response plan; incident response
	training records; other relevant documents or records].
	Interview: [SELECT FROM: Organizational personnel with incident response training and operational
	responsibilities].
IR-2(1)	INCIDENT RESPONSE TRAINING
IR-2(1).1	ASSESSMENT OBJECTIVE:
	Determine if the organization incorporates simulated events into incident response
	training to facilitate effective response by personnel in crisis situations.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Incident response policy; procedures addressing incident response training;
	incident response training material; other relevant documents or records].
	Interview: [SELECT FROM: Organizational personnel with incident response training and operational
	responsibilities].
IR-2(2)	INCIDENT RESPONSE TRAINING
IR-2(2).1	ASSESSMENT OBJECTIVE:
	Determine if the organization employs automated mechanisms to provide a more
	thorough and realistic incident response training environment.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Incident response policy; procedures addressing incident response training;
	incident response training material; automated mechanisms supporting incident response
	training; other relevant documents or records].
	Interview: [SELECT FROM: Organizational personnel with incident response training and operational
	responsibilities].

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FAMILY: INCIDENT RESPONSE		CLASS: OPERATIONAL
	ASSESSMENT PROCEDURE
IR-3	INCIDENT RESPONSE TESTING AND EXERCISES
IR-3.1	ASSESSMENT OBJECTIVE:
	Determine if:
	(i) the organization defines incident response tests/exercises;
	(ii) the organization defines the frequency of incident response tests/exercises;
	(iii) the organization tests/exercises the incident response capability for the information
	system using organization-defined tests/exercises in accordance with organization-
	defined frequency;
	(iv) the organization documents the results of incident response tests/exercises; and
	(v) the organization determines the effectiveness of the incident response capability.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Incident response policy; procedures addressing incident response testing
	and exercises; security plan; incident response testing material; incident response test
	results; incident response plan; other relevant documents or records].
	Interview: [SELECT FROM: Organizational personnel with incident response testing responsibilities].
IR-3(1)	INCIDENT RESPONSE TESTING AND EXERCISES
IR-3(1).1	ASSESSMENT OBJECTIVE:
	Determine if the organization employs automated mechanisms to more thoroughly and
	effectively test/exercise the incident response capability for the information system.
	POTENTIAL ASSESSMENT METHODS AND OBJECTS:
	Examine: [SELECT FROM: Incident response policy; procedures addressing incident response testing
	and exercises; security plan; incident response testing documentation; automated
	mechanisms supporting incident response tests/exercises; incident response plan; other
	relevant documents or records].
	Interview: [SELECT FROM: Organizational personnel with incident response testing responsibilities].

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