SA
Family: |
System and Services Acquisition |
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Class: |
Management |
Download SA Baseline Security Controls here
SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
Control: The organization develops, disseminates, and reviews/updates [Assignment: organization defined frequency]:
a. A formal, documented system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and services acquisition family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and services acquisition policy can be included as part of the general information security policy for the organization. System and services acquisition procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and services acquisition policy.
Related control: PM-9.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-100.
| LOW SA-1 | MOD SA-1 |
Federal Risk and Authorization Management Program
Control Parameter Requirements:
Parameter: at least annually
Additional Requirements and Guidance:
None.
ALLOCATION OF RESOURCES
Control: The organization:
a. Includes a determination of information security requirements for the information system in mission/business process planning;
b. Determines, documents, and allocates the resources required to protect the information system as part of its capital planning and investment control process; and
c. Establishes a discrete line item for information security in organizational programming and budgeting documentation.
Supplemental Guidance: None.
Related controls: PM-3, PM-11.
Control Enhancements: None.
References: NIST Special Publication 800-65.
| LOW SA-2 | MOD SA-2 |
Federal Risk and Authorization Management Program
Control Parameter Requirements:
None.
Additional Requirements and Guidance:
None.
LIFE CYCLE SUPPORT
Control: The organization:
a. Manages the information system using a system development life cycle methodology that includes information security considerations;
b. Defines and documents information system security roles and responsibilities throughout the system development life cycle; and
c. Identifies individuals having information system security roles and responsibilities.
Supplemental Guidance: None.
Related control: PM-7.
Control Enhancements: None.
References: NIST Special Publication 800-64.
| LOW SA-3 | MOD SA-3 |
Federal Risk and Authorization Management Program
Control Parameter Requirements:
None.
Additional Requirements and Guidance:
None.
ACQUISITIONS
Control: The organization includes the following requirements and/or specifications, explicitly or by reference, in information system acquisition contracts based on an assessment of risk and in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards:
a. Security functional requirements/specifications;
b. Security-related documentation requirements; and
c. Developmental and evaluation-related assurance requirements.
Supplemental Guidance: The acquisition documents for information systems, information system components, and information system services include, either explicitly or by reference, security requirements that describe: (i) required security capabilities (i.e., security needs and, as necessary, specific security controls and other specific FISMA requirements); (ii) required design and development processes; (iii) required test and evaluation procedures; and (iv) required documentation. The requirements in the acquisition documents permit updating security controls as new threats/vulnerabilities are identified and as new technologies are implemented. Acquisition documents also include requirements for appropriate information system documentation. The documentation addresses user and system administrator guidance and information regarding the implementation of the security controls in the information system. The level of detail required in the documentation is based on the security categorization for the information system. In addition, the required documentation includes security configuration settings and security implementation guidance. FISMA reporting instructions provide guidance on configuration requirements for federal information systems.
Related control: None.
Control Enhancements:
(1) The organization requires in acquisition documents that vendors/contractors provide information describing the functional properties of the security controls to be employed within the information system, information system components, or information system services in sufficient detail to permit analysis and testing of the controls.
Enhancement Supplemental Guidance: None.
(4) The organization ensures that each information system component acquired is explicitly assigned to an information system, and that the owner of the system acknowledges this assignment.
Enhancement Supplemental Guidance: None.
References: ISO/IEC 15408; FIPS 140-2; NIST Special Publications 800-23, 800-35, 800-36, 800- 64, 800-70; Web: WWW.NIAP-CCEVS.ORG.
| LOW SA-4 | MOD SA-4 (1) (4) |
Federal Risk and Authorization Management Program
Control Enhancements:
(7) The organization:
(a) Limits the use of commercially provided information technology products to those products that have been successfully evaluated against a validated U.S. Government Protection Profile for a specific technology type, if such a profile exists; and
(b) Requires, if no U.S. Government Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, then the cryptographic module is FIPS-validated.
Enhancement Supplemental Guidance: None.
| LOW SA-4 | MOD SA-4 (1) (4) (7) |
Control Parameter Requirements:
None.
Additional Requirements and Guidance:
Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred.See http://www.niap-ccevs.org/vpl or http://www.commoncriteriaportal.org/products.html.
INFORMATION SYSTEM DOCUMENTATION
Control: The organization:
a. Obtains, protects as required, and makes available to authorized personnel, administrator documentation for the information system that describes:
- Secure configuration, installation, and operation of the information system;
- Effective use and maintenance of security features/functions; and
- Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions; and
b. Obtains, protects as required, and makes available to authorized personnel, user documentation for the information system that describes:
- User-accessible security features/functions and how to effectively use those security features/functions;
- Methods for user interaction with the information system, which enables individuals to use the system in a more secure manner; and
- User responsibilities in maintaining the security of the information and information system; and
c. Documents attempts to obtain information system documentation when such documentation is either unavailable or nonexistent.
Supplemental Guidance: The inability of the organization to obtain necessary information system documentation may occur, for example, due to the age of the system and/or lack of support from the vendor/contractor. In those situations, organizations may need to recreate selected information system documentation if such documentation is essential to the effective implementation and/or operation of security controls.
Related control: None.
Control Enhancements:
(1) The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the functional properties of the security controls employed within the information system with sufficient detail to permit analysis and testing.
Enhancement Supplemental Guidance: None.
(5) The organization obtains, protects as required, and makes available to authorized personnel, the source code for the information system to permit analysis and testing.
Enhancement Supplemental Guidance: None.
References: None.
| LOW SA-5 | MOD SA-5 (1) (3) |
Federal Risk and Authorization Management Program
Control Parameter Requirements:
None.
Additional Requirements and Guidance:
None.
SOFTWARE USAGE RESTRICTIONS
Control: The organization:
a. Uses software and associated documentation in accordance with contract agreements and copyright laws;
b. Employs tracking systems for software and associated documentation protected by quantity licenses to control copying and distribution; and
c. Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
Supplemental Guidance: This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and services acquisition family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and services acquisition policy can be included as part of the general information security policy for the organization. System and services acquisition procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and services acquisition policy.
Related control: None.
Control Enhancements: None.
References: None.
| LOW SA-6 | MOD SA-6 |
Federal Risk and Authorization Management Program
Control Parameter Requirements:
None.
Additional Requirements and Guidance:
None.
USER INSTALLED SOFTWARE
Control: The organization enforces explicit rules governing the installation of software by users.
Supplemental Guidance: If provided the necessary privileges, users have the ability to install software. The organization identifies what types of software installations are permitted (e.g., updates and security patches to existing software) and what types of installations are prohibited (e.g., software whose pedigree with regard to being potentially malicious is unknown or suspect).
Related control: CM-2.
Control Enhancements: None.
References: None.
| LOW SA-7 | MOD SA-7 |
Federal Risk and Authorization Management Program
Control Parameter Requirements:
None.
Additional Requirements and Guidance:
None.
SECURITY ENGINEERING PRINCIPLES
Control: The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
Supplemental Guidance: The application of security engineering principles is primarily targeted at new development information systems or systems undergoing major upgrades and is integrated into the system development life cycle. For legacy information systems, the organization applies security engineering principles to system upgrades and modifications to the extent feasible, given the current state of the hardware, software, and firmware within the system. Examples of security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring system developers and integrators are trained on how to develop secure software; (vi) tailoring security controls to meet organizational and operational needs; and (vii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
Related control: None.
Control Enhancements: None.
References: NIST Special Publication 800-27.
| LOW Not Selected | MOD SA-8 |
Federal Risk and Authorization Management Program
Control Parameter Requirements:
None.
Additional Requirements and Guidance:
None.
EXTERNAL INFORMATION SYSTEM SERVICES
Control: The organization:
a. Requires that providers of external information system services comply with organizational information security requirements and employ appropriate security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
b. Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and
c. Monitors security control compliance by external service providers.
Supplemental Guidance: An external information system service is a service that is implemented outside of the authorization boundary of the organizational information system (i.e., a service that is used by, but not a part of, the organizational information system). Relationships with external service providers are established in a variety of ways, for example, through joint ventures, business partnerships, outsourcing arrangements (i.e., contracts, interagency agreements, lines of business arrangements), licensing agreements, and/or supply chain exchanges. The responsibility for adequately mitigating risks arising from the use of external information system services remains with the authorizing official. Authorizing officials require that an appropriate chain of trust be established with external service providers when dealing with the many issues associated with information security. For services external to the organization, a chain of trust requires that the organization establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered to the organization. The extent and nature of this chain of trust varies based on the relationship between the organization and the external provider. Where a sufficient level of trust cannot be established in the external services and/or service providers, the organization employs compensating security controls or accepts the greater degree of risk. The external information system services documentation includes government, service provider, and end user security roles and responsibilities, and any service-level agreements. Service-level agreements define the expectations of performance for each required security control, describe measurable outcomes, and identify remedies and response requirements for any identified instance of noncompliance.
Related control: None.
Control Enhancements: None.
References: NIST Special Publication 800-35.
| LOW SA-9 | MOD SA-9 |
Federal Risk and Authorization Management Program
Control Enhancements:
(1) The organization:
(a) Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and
(b) Ensures that the acquisition or outsourcing of dedicated information security services is approved by [Assignment: organization-defined senior organizational official].
Enhancement Supplemental Guidance: Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
| LOW SA-9 | MOD SA-9 (1) |
Control Parameter Requirements:
(1)(b) Parameter: Joint Authorization Board (JAB)
Additional Requirements and Guidance:
(1) Requirement: The service provider documents all existing outsourced security services and conducts a risk assessment of future outsourced security services. Future, planned outsourced services are approved and accepted by the JAB.
DEVELOPER CONFIGURATION MANAGEMENT
Control: The organization requires that information system developers/integrators:
a. Perform configuration management during information system design, development, implementation, and operation;
b. Manage and control changes to the information system;
c. Implement only organization-approved changes;
d. Document approved changes to the information system; and
e. Track security flaws and flaw resolution.
Supplemental Guidance: None.
Related controls: CM-3, CM-4, CM-9.
Control Enhancements: None.
References: None.
| LOW Not Selected | MOD SA-10 |
Federal Risk and Authorization Management Program
Control Parameter Requirements:
None.
Additional Requirements and Guidance:
None.
DEVELOPER SECURITY TESTING
Control: The organization requires that information system developers/integrators, in consultation with associated security personnel (including security engineers):
a. Create and implement a security test and evaluation plan;
b. Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and
c. Document the results of the security testing/evaluation and flaw remediation processes.
Supplemental Guidance: Developmental security test results are used to the greatest extent feasible after verification of the results and recognizing that these results are impacted whenever there have been security-relevant modifications to the information system subsequent to developer testing. Test results may be used in support of the security authorization process for the delivered information system.
Related control: CA-2, SI-2.
Control Enhancements: None.
References: Not Applicable.
| LOW Not Selected | MOD SA-11 |
Federal Risk and Authorization Management Program
Control Enhancements:
(7) The organization requires that information system developers/integrators employ code analysis tools to examine software for common flaws and document the results of the analysis.
Enhancement Supplemental Guidance: None.
| LOW Not Selected | MOD SA-11 (1) |
Control Parameter Requirements:
None.
Additional Requirements and Guidance:
(1) Requirement: The service provider submits a code analysis report as part of the authorization package and updates the report in any reauthorization actions.
Requirement: The service provider documents in the Continuous Monitoring Plan, how newly developed code for the information system is reviewed.
Federal Risk and Authorization Management Program
SUPPLY CHAIN PROTECTION
Control: The organization protects against supply chain threats by employing: [Assignment: organization-defined list of measures to protect against supply chain threats] as part of a comprehensive, defense-in-breadth information security strategy
Supplemental Guidance: A defense-in-breadth approach helps to protect information systems (including the information technology products that compose those systems) throughout the system development life cycle (i.e., during design and development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). This is accomplished by the identification, management, and elimination of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to mitigate risk..
Related control: None.
Control Enhancements: None.
References: None.
| LOW Not Selected | MOD SA-12 |
Control Parameter Requirements:
Parameter: See additional requirements and guidance.
Additional Requirements and Guidance:
Requirement: The service provider defines a list of measures to protect against supply chain threats. The list of protective measures is approved and accepted by JAB.