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ITL Bulletin for March 2006




ITL Bulletin for March 2006
ITL Bulletin for March 2006



Forwarded from: Elizabeth Lennon  

MINIMUM SECURITY REQUIREMENTS FOR FEDERAL INFORMATION AND 
INFORMATION SYSTEMS:  FEDERAL INFORMATION PROCESSING 
STANDARD (FIPS) 200 APPROVED BY THE SECRETARY OF COMMERCE

Shirley Radack, Editor
Computer Security Division
Information Technology Laboratory
National Institute of Standards and Technology
Technology Administration
U.S. Department of Commerce

The Secretary of Commerce, Carlos M. Gutierrez, has approved a new
Federal Information Processing Standard (FIPS) to improve the security
of government information and information systems. FIPS 200, Minimum
Security Requirements for Federal Information and Information Systems,
which was approved on March 9, 2006, assists federal agencies in
conducting effective information security programs and in meeting the
requirements of the Federal Information Security Management Act
(FISMA) of 2002.

FISMA requires all federal agencies to develop, document, and
implement agency-wide information security programs and to provide
information security for the information and information systems that
support the operations and assets of the agency, including those
systems provided or managed by another agency, contractor, or other
source. To help agencies carry out these policies, FISMA called for
NIST to develop federal standards for the security categorization of
federal information and information systems according to risk levels,
and for minimum security requirements for information and information
systems in each security category. FIPS 199, Standards for the
Security Categorization of Federal Information and Information
Systems, issued in February 2004, was the first standard that was
specified by FISMA. FIPS 199 requires agencies to categorize their
information systems as low-impact, moderate-impact, or high-impact for
the security objectives of confidentiality, integrity, and
availability.

FIPS 200, which is the second standard that was specified by FISMA, is
an integral part of the risk management framework that NIST has
developed to assist federal agencies in providing appropriate levels
of information security based on levels of risk. In applying the
provisions of FIPS 200, agencies will categorize their systems as
required by FIPS 199, and then select an appropriate set of security
controls from NIST Special Publication (SP) 800-53, Recommended
Security Controls for Federal Information Systems, to satisfy their
minimum security requirements.

Security controls are the management, operational and technical
safeguards and countermeasures needed to protect the confidentiality,
integrity, and availability of a computer system and its information.
Management safeguards range from risk assessments to security
planning.  Operational safeguards include factors such as personnel
security and basic hardware/software maintenance. Technical safeguards
include items such as audit trails and communications protection.

Applicability of FIPS 200

FIPS 200 is applicable to:

* all information within the federal government other than that
information that has been determined pursuant to Executive Order
12958, as amended by Executive Order 13292, or any predecessor order,
or by the Atomic Energy Act of 1954, as amended, to require protection
against unauthorized disclosure and is marked to indicate its
classified status; and

* all federal information systems other than those information systems
designated as national security systems as defined in 44 US Code
Section 3542(b)(2).

FIPS 200 was broadly developed from a technical perspective to
complement similar standards for national security systems. In
addition to the agencies of the federal government, state, local, and
tribal governments and private sector organizations that compose the
critical infrastructure of the United States are encouraged to
consider the use of the standard.

Using FIPS 200

In applying FIPS 200, federal agencies must first categorize their
information systems as low-impact, moderate-impact, or high- impact
for the security objectives of confidentiality, integrity, and
availability in accordance with FIPS 199, Standards for Security
Categorization of Federal Information and Information Systems. A
low-impact system is an information system in which all three of the
security objectives for confidentiality, integrity, and availability
are low. A moderate-impact system is an information system in which at
least one of the security objectives is moderate and no security
objective is greater than moderate. A high-impact system is an
information system in which at least one security objective is high.
This determination of information system impact levels must be
accomplished prior to the consideration of minimum security
requirements and the selection of appropriate security controls for
those information systems.

Specifying Minimum Security Requirements

FIPS 200 specifies minimum security requirements for federal
information and information systems in seventeen security-related
areas that represent a broad-based, balanced information security
program. The seventeen security-related areas encompass the
management, operational, and technical aspects of protecting federal
information and information systems, and include the following:

Access control:  limiting information system access to authorized
users, processes acting on behalf of authorized users, or devices
(including other information systems), and to types of transactions
and functions that authorized users are permitted to exercise.

Audit and accountability:  creating, protecting, and retaining
information system audit records that are needed for the monitoring,
analysis, investigation, and reporting of unlawful, unauthorized or
inappropriate information system activity, and ensuring that the
actions of individual users can be traced so that the individual users
can be held accountable for their actions.

Awareness and training:  ensuring that managers and users of
information systems are made aware of the security risks associated
with their activities and of applicable laws, policies, and procedures
related to security, and ensuring that personnel are trained to carry
out their assigned information security-related duties.

Certification, accreditation, and security assessments:  assessing
security controls for effectiveness, implementing plans to correct
deficiencies and to reduce vulnerabilities, authorizing the operation
of information systems and system connections, and monitoring system
security controls.

Configuration management:  establishing baseline configurations and
inventories of systems, enforcing security configuration settings for
products, monitoring and controlling changes to baseline
configurations and to components of systems throughout their system
development life cycles.

Contingency planning:  establishing and implementing plans for
emergency response, backup operations, and post-disaster recovery of
information systems.

Identification and authentication:  identifying and authenticating the
identities of users, processes, or devices that require access to
information systems.

Incident response:  establishing operational incident handling
capabilities for information systems, and tracking, documenting, and
reporting incidents to appropriate officials.

Maintenance:  performing periodic and timely maintenance of systems,
and providing effective controls on the tools, techniques, mechanisms,
and personnel that perform system maintenance.

Media protection:  protecting information in printed form or on
digital media, limiting access to information to authorized users, and
sanitizing or destroying digital media before disposal or reuse.

Personnel security:  ensuring that individuals in positions of
authority are trustworthy and meet security criteria, ensuring that
information and information systems are protected during personnel
actions, and employing formal sanctions for personnel failing to
comply with security policies and procedures.

Physical and environmental protection:  limiting physical access to
systems and to equipment to authorized individuals, protecting the
physical plant and support infrastructure for systems, providing
supporting utilities for systems, protecting systems against
environmental hazards, and providing environmental controls in
facilities that contain systems.

Planning:  developing, documenting, updating, and implementing
security plans for systems.

Risk assessment:  assessing the risk to organizational operations,
assets, and individuals resulting from the operation of information
systems, and the processing, storage, or transmission of information.

Systems and services acquisition:  allocating resources to protect
systems, employing system development life cycles processes, employing
software usage and installation restrictions, and ensuring that
third-party providers employ adequate security measures to protect
outsourced information, applications, or services.

System and communications protection:  monitoring, controlling and
protecting communications at external and internal boundaries of
information systems, and employing architectural designs, software
development techniques, and systems engineering principles to promote
effective security.

System and information integrity:  identifying, reporting, and
correcting information and system flaws in a timely manner, providing
protection from malicious code, and monitoring system security alerts
and advisories.

Selection of Security Controls

Organizations must meet the minimum security requirements by selecting
the appropriate security controls and assurance requirements that are
described in SP 800-53, Recommended Security Controls for Federal
Information Systems. This publication was originally issued in
February 2005 and was updated through June 2005. To keep the security
controls discussed in the publication up to date with current
practices, NIST conducts an annual review and update process. The
purpose of the annual review is to ensure that the security controls
listed in the control catalog and that the specified minimum security
controls represent the current state of the practice in safeguards and
countermeasures for information systems.

In March 2006, NIST announced that it had revised SP 800-53 and made
it available for public review and comment as Draft SP 800-53,
Revision 1, Recommended Security Controls for Federal Information
Systems. During the year after the original publication of SP 800-53,
NIST received many thoughtful comments about the format, structure,
and content of the publication. The revision reflects customer
experience gained from employing the security controls and security
controls baselines, changing security requirements within
organizations, and new technologies that are available for information
security.

FIPS 200 and its supporting publication SP 800-53 establish conditions
to enable organizations to be flexible in tailoring their security
control baselines. Agencies may, for example, apply appropriate
scoping guidance, taking into consideration the issues related to the
specific technologies employed by the agency, the common security
controls employed, requirements for public access to information
systems, specific physical conditions, the size and complexity of
systems, and the risks involved. Guidance is provided on how to assess
these considerations in implementing agency security controls.  SP
800-53 also provides guidance on the use of compensating security
controls that may be employed by an organization in lieu of the
prescribed controls in the low, moderate, or high security control
baselines. Other areas of flexibility for agencies include defining
selected portions of the controls to support organization-unique
requirements or objectives, and supplementing the security control
baselines with additional controls that may be needed.

Other Guidance Supporting the Implementation of FIPS 199 and FIPS 200

NIST SP 800-18, Guide for Developing Security Plans for Federal
Information Systems, assists organizations in developing security
plans that summarize the security requirements for each information
system, and the security controls in place or planned for meeting the
requirements.  The publication relates the security planning processes
that agencies should employ to the requirements of FIPS 199 and FIPS
200.

NIST SP 800-26, Security Self-Assessment Guide for Information
Technology Systems, is being revised to be consistent with NIST SP
800-53, Recommended Security Controls for Federal Information Systems.
The revision will add information about FIPS 199, compensating
controls, common controls, SP 800-53 and SP 800-53A, and agency
security program-level assessments (including a program-level
questionnaire). The system-level questionnaire will be used as a
reporting form for the seventeen security-related areas that are
listed above.

NIST SP 800-30, Risk Management Guide for Information Technology
Systems, provides guidance to organizations in identifying the risks
to their information systems, assessing the risks, and taking steps to
reducing the risks to an acceptable level. The risk management process
enables organizations to protect the information systems that store,
process, and transmit organizational information, to make
well-informed risk management decisions, and to apply system
authorization and accreditation processes.

NIST SP 800-37, Guide for the Security Certification and Accreditation
of Federal Information Systems, provides guidance for the security
certification and accreditation of information systems. Security
certification and accreditation are important activities that support
a risk management process, and are essential to an organization's
information security program. Security accreditation is the official
management decision given by a senior agency official to authorize
operation of an information system and to explicitly accept the risk
to agency operations, agency assets, or individuals based on the
implementation of an agreed-upon set of security controls. Security
certification, which supports the accreditation process, is a
comprehensive assessment of the management, operational, and technical
security controls in an information system to determine the extent to
which the controls are implemented correctly, operating as intended,
and producing the desired outcome with respect to meeting the security
requirements of the system.

NIST SP 800-60, Guide for Mapping Types of Information and Information
Systems to Security Categories, assists federal agencies in
identifying information types and information systems and assigning
impact levels for confidentiality, integrity, and availability. The
impact levels are based on the security categorization definitions in
FIPS 199 and are included in two volumes. Volume I of SP 800-60
provides guidelines for identifying impact levels by type and suggests
impact levels for administrative and support information common to
multiple agencies. Volume II includes the rationale for information
type and impact level recommendations and examples of recommendations
for agency-specific, mission-related information.

Other publications, directives, and policies that support compliance
with FISMA are available from the FISMA Implementation Project website
listed below.

Schedule for Implementation of FIPS 200

FIPS 200 is effective immediately, and agencies are expected to be in
compliance within one year. Agencies will have one year to implement
the security controls included in SP 800-53 after the current review
period has been completed, and the publication has been issued in
final form. However, agencies are encouraged to initiate compliance
activities immediately.

For More Information

Information about the FISMA Implementation Project, including
references, contacts, and information about upcoming conferences and
workshops, is available on the NIST website:  
http://csrc.nist.gov/sec-cert. 

FIPS 199 and FIPS 200 are available on the NIST website 
http://csrc.nist.gov/publications/fips/index.html. 

NIST Special Publications are available on the NIST website
http://csrc.nist.gov/publications/nistpubs/index.html. 

Disclaimer
Any mention of commercial products or reference to commercial
organizations is for information only; it does not imply
recommendation or endorsement by NIST nor does it imply that the
products mentioned are necessarily the best available for the purpose.


Elizabeth B. Lennon
Writer/Editor
Information Technology Laboratory
National Institute of Standards and Technology
100 Bureau Drive, Stop 8900
Gaithersburg, MD 20899-8900
Telephone (301) 975-2832
Fax (301) 975-2378



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