(Satisfies SOC IS-1 Requirements)
3.2 Awareness & Training Policies
3.5 Identification and Authentication
3.13 Systems & Communications Protection
3.14 Systems & Information Integrity
| Framework Standard | Category | Controls Satisfied | 800-53r4 Controls | ISO/SEC 27001 | Audit Controls |
|---|---|---|---|---|---|
| NIST 800-171 | None | None | None | None | None |
| Date | Comment | Who |
|---|---|---|
| 8/12/2019 | Added Template Fields and FIPS 199, Format Updates | Tharp |
| 8/13/2019 | Added NIST 800-53r4 to ISO/IEC Matrix | Tharp |
| Framework Standard | Category | Controls Satisfied | 800-53r4 Controls | ISO/SEC 27001 | Audit Controls |
|---|---|---|---|---|---|
| NIST 800-171 | Can Name | Controls Covered | NIST Sections | ISO Topics | A-lign Topics |
| Date | Comment | Who |
|---|---|---|
| 1/1/2000 | Change Notes | Change Author |
Purpose and Scope====
Background====
Policies====
n.nn===
Response Plan
Plan # Name====
A===
B===
| Term | Definition |
|---|---|
| Policy | Policies are the statements of the specific framework being referenced |
| Plans | Are DLZP Group's implementation documentation to achieve the corresponding policy |
| NIST SP 800-53 CONTROLS | NIST SP 800-53 CONTROLS | “ISO/IEC 27001 CONTROLS Note: An asterisk (*) indicates that the ISO/IEC control does not fully satisfy the intent of the NIST control. ” |
|---|---|---|
| AC-1 | Access Control Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.9.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| AC-2 | Account Management | A.9.2.1; A.9.2.2; A.9.2.3; A.9.2.5; A.9.2.6 |
| AC-3 | Access Enforcement | A.6.2.2; A.9.1.2; A.9.4.1; A.9.4.4; A.9.4.5; A.13.1.1; A.14.1.2; A.14.1.3; A.18.1.3 |
| AC-4 | Information Flow Enforcement | A.13.1.3; A.13.2.1; A.14.1.2; A.14.1.3 |
| AC-5 | Separation of Duties | A.6.1.2 |
| AC-6 | Least Privilege | A.9.1.2; A.9.2.3; A.9.4.4; A.9.4.5 |
| AC-7 | Unsuccessful Logon Attempts | A.9.4.2 |
| AC-8 | System Use Notification | A.9.4.2 |
| AC-9 | Previous Logon (Access) Notification | A.9.4.2 |
| AC-10 | Concurrent Session Control | None |
| AC-11 | Session Lock | A.11.2.8; A.11.2.9 |
| AC-12 | Session Termination | None |
| AC-13 | Withdrawn | — |
| AC-14 | Permitted Actions without Identification or Authentication | None |
| AC-15 | Withdrawn | — |
| AC-16 | Security Attributes | None |
| AC-17 | Remote Access | A.6.2.1; A.6.2.2; A.13.1.1; A.13.2.1; A.14.1.2 |
| AC-18 | Wireless Access | A.6.2.1; A.13.1.1; A.13.2.1 |
| AC-19 | Access Control for Mobile Devices | A.6.2.1; A.11.2.6; A.13.2.1 |
| AC-20 | Use of External Information Systems | A.11.2.6; A.13.1.1; A.13.2.1 |
| AC-21 | Information Sharing | None |
| AC-22 | Publicly Accessible Content | None |
| AC-23 | Data Mining Protection | None |
| AC-24 | Access Control Decisions | A.9.4.1* |
| AC-25 | Reference Monitor | None |
| AT-1 | Security Awareness and Training Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| AT-2 | Security Awareness Training | A.7.2.2; A.12.2.1 |
| AT-3 | Role-Based Security Training | A.7.2.2* |
| AT-4 | Security Training Records | None |
| AT-5 | Withdrawn | — |
| AU-1 | Audit and Accountability Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| AU-2 | Audit Events | None |
| AU-3 | Content of Audit Records | A.12.4.1* |
| AU-4 | Audit Storage Capacity | A.12.1.3 |
| AU-5 | Response to Audit Processing Failures | None |
| AU-6 | Audit Review; Analysis; and Reporting | A.12.4.1; A.16.1.2; A.16.1.4 |
| AU-7 | Audit Reduction and Report Generation | None |
| AU-8 | Time Stamps | A.12.4.4 |
| AU-9 | Protection of Audit Information | A.12.4.2; A.12.4.3; A.18.1.3 |
| AU-10 | Non-repudiation | None |
| AU-11 | Audit Record Retention | A.12.4.1; A.16.1.7 |
| AU-12 | Audit Generation | A.12.4.1; A.12.4.3 |
| AU-13 | Monitoring for Information Disclosure | None |
| AU-14 | Session Audit | A.12.4.1* |
| AU-15 | Alternate Audit Capability | None |
| AU-16 | Cross-Organizational Auditing | None |
| CA-1 | Security Assessment and Authorization Policies and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| CA-2 | Security Assessments | A.14.2.8; A.18.2.2; A.18.2.3 |
| CA-3 | System Interconnections | A.13.1.2; A.13.2.1; A.13.2.2 |
| CA-4 | Withdrawn | — |
| CA-5 | Plan of Action and Milestones | None |
| CA-6 | Security Authorization | None |
| CA-7 | Continuous Monitoring | None |
| CA-8 | Penetration Testing | None |
| CA-9 | Internal System Connections | None |
| CM-1 | Configuration Management Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| CM-2 | Baseline Configuration | None |
| CM-3 | Configuration Change Control | A.12.1.2; A.14.2.2; A.14.2.3; A.14.2.4 |
| CM-4 | Security Impact Analysis | A.14.2.3 |
| CM-5 | Access Restrictions for Change | A.9.2.3; A.9.4.5; A.12.1.2; A.12.1.4; A.12.5.1 |
| CM-6 | Configuration Settings | None |
| CM-7 | Least Functionality | A.12.5.1* |
| CM-8 | Information System Component Inventory | A.8.1.1; A.8.1.2 |
| CM-9 | Configuration Management Plan | A.6.1.1* |
| CM-10 | Software Usage Restrictions | A.18.1.2 |
| CM-11 | User-Installed Software | A.12.5.1; A.12.6.2 |
| CP-1 | Contingency Planning Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| CP-2 | Contingency Plan | A.6.1.1; A.17.1.1; A.17.2.1 |
| CP-3 | Contingency Training | A.7.2.2* |
| CP-4 | Contingency Plan Testing | A.17.1.3 |
| CP-5 | Withdrawn | — |
| CP-6 | Alternate Storage Site | A.11.1.4; A.17.1.2; A.17.2.1 |
| CP-7 | Alternate Processing Site | A.11.1.4; A.17.1.2; A.17.2.1 |
| CP-8 | Telecommunications Services | A.11.2.2; A.17.1.2 |
| CP-9 | Information System Backup | A.12.3.1; A.17.1.2; A.18.1.3 |
| CP-10 | Information System Recovery and Reconstitution | A.17.1.2 |
| CP-11 | Alternate Communications Protocols | A.17.1.2* |
| CP-12 | Safe Mode | None |
| CP-13 | Alternative Security Mechanisms | A.17.1.2* |
| IA-1 | Identification and Authentication Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| IA-2 | Identification and Authentication (Organizational Users) | A.9.2.1 |
| IA-3 | Device Identification and Authentication | None |
| IA-4 | Identifier Management | A.9.2.1 |
| IA-5 | Authenticator Management | A.9.2.1; A.9.2.4; A.9.3.1; A.9.4.3 |
| IA-6 | Authenticator Feedback | A.9.4.2 |
| IA-7 | Cryptographic Module Authentication | A.18.1.5 |
| IA-8 | Identification and Authentication (Non-Organizational Users) | A.9.2.1 |
| IA-9 | Service Identification and Authentication | None |
| IA-10 | Adaptive Identification and Authentication | None |
| IA-11 | Re-authentication | None |
| IR-1 | Incident Response Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1 A.18.1.1; A.18.2.2 |
| IR-2 | Incident Response Training | A.7.2.2* |
| IR-3 | Incident Response Testing | None |
| IR-4 | Incident Handling | A.16.1.4; A.16.1.5; A.16.1.6 |
| IR-5 | Incident Monitoring | None |
| IR-6 | Incident Reporting | A.6.1.3; A.16.1.2 |
| IR-7 | Incident Response Assistance | None |
| IR-8 | Incident Response Plan | A.16.1.1 |
| IR-9 | Information Spillage Response | None |
| IR-10 | Integrated Information Security Analysis Team | None |
| MA-1 | System Maintenance Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| MA-2 | Controlled Maintenance | A.11.2.4*; A.11.2.5* |
| MA-3 | Maintenance Tools | None |
| MA-4 | Nonlocal Maintenance | None |
| MA-5 | Maintenance Personnel | None |
| MA-6 | Timely Maintenance | A.11.2.4 |
| MP-1 | Media Protection Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| MP-2 | Media Access | A.8.2.3; A.8.3.1; A.11.2.9 |
| MP-3 | Media Marking | A.8.2.2 |
| MP-4 | Media Storage | A.8.2.3; A.8.3.1; A.11.2.9 |
| MP-5 | Media Transport | A.8.2.3; A.8.3.1; A.8.3.3; A.11.2.5; A.11.2.6 |
| MP-6 | Media Sanitization | A.8.2.3; A.8.3.1; A.8.3.2; A.11.2.7 |
| MP-7 | Media Use | A.8.2.3; A.8.3.1 |
| MP-8 | Media Downgrading | None |
| PE-1 | Physical and Environmental Protection Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| PE-2 | Physical Access Authorizations | A.11.1.2* |
| PE-3 | Physical Access Control | A.11.1.1; A.11.1.2; A.11.1.3 |
| PE-4 | Access Control for Transmission Medium | A.11.1.2; A.11.2.3 |
| PE-5 | Access Control for Output Devices | A.11.1.2; A.11.1.3 |
| PE-6 | Monitoring Physical Access | None |
| PE-7 | Withdrawn | — |
| PE-8 | Visitor Access Records | None |
| PE-9 | Power Equipment and Cabling | A.11.1.4; A.11.2.1; A.11.2.2; A.11.2.3 |
| PE-10 | Emergency Shutoff | A.11.2.2* |
| PE-11 | Emergency Power | A.11.2.2 |
| PE-12 | Emergency Lighting | A.11.2.2* |
| PE-13 | Fire Protection | A.11.1.4; A.11.2.1 |
| PE-14 | Temperature and Humidity Controls | A.11.1.4; A.11.2.1; A.11.2.2 |
| PE-15 | Water Damage Protection | A.11.1.4; A.11.2.1; A.11.2.2 |
| PE-16 | Delivery and Removal | A.8.2.3; A.11.1.6; A.11.2.5 |
| PE-17 | Alternate Work Site | A.6.2.2; A.11.2.6; A.13.2.1 |
| PE-18 | Location of Information System Components | A.8.2.3; A.11.1.4; A.11.2.1 |
| PE-19 | Information Leakage | A.11.1.4; A.11.2.1 |
| PE-20 | Asset Monitoring and Tracking | A.8.2.3* |
| PL-1 | Security Planning Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| PL-2 | System Security Plan | A.14.1.1 |
| PL-3 | Withdrawn | — |
| PL-4 | Rules of Behavior | A.7.1.2; A.7.2.1; A.8.1.3 |
| PL-5 | Withdrawn | — |
| PL-6 | Withdrawn | — |
| PL-7 | Security Concept of Operations | A.14.1.1* |
| PL-8 | Information Security Architecture | A.14.1.1* |
| PL-9 | Central Management | None |
| PS-1 | Personnel Security Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| PS-2 | Position Risk Designation | None |
| PS-3 | Personnel Screening | A.7.1.1 |
| PS-4 | Personnel Termination | A.7.3.1; A.8.1.4 |
| PS-5 | Personnel Transfer | A.7.3.1; A.8.1.4 |
| PS-6 | Access Agreements | A.7.1.2; A.7.2.1; A.13.2.4 |
| PS-7 | Third-Party Personnel Security | A.6.1.1*; A.7.2.1* |
| PS-8 | Personnel Sanctions | A.7.2.3 |
| RA-1 | Risk Assessment Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| RA-2 | Security Categorization | A.8.2.1 |
| RA-3 | Risk Assessment | A.12.6.1* |
| RA-4 | Withdrawn | — |
| RA-5 | Vulnerability Scanning | A.12.6.1* |
| RA-6 | Technical Surveillance Countermeasures Survey | None |
| SA-1 | System and Services Acquisition Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| SA-2 | Allocation of Resources | None |
| SA-3 | System Development Life Cycle | A.6.1.1; A.6.1.5; A.14.1.1; A.14.2.1; A.14.2.6 |
| SA-4 | Acquisition Process | A.14.1.1; A.14.2.7; A.14.2.9; A.15.1.2 |
| SA-5 | Information System Documentation | A.12.1.1* |
| SA-6 | Withdrawn | — |
| SA-7 | Withdrawn | — |
| SA-8 | Security Engineering Principles | A.14.2.5 |
| SA-9 | External Information System Services | A.6.1.1; A.6.1.5; A.7.2.1; A.13.1.2; A.13.2.2; A.15.2.1; A.15.2.2 |
| SA-10 | Developer Configuration Management | A.12.1.2; A.14.2.2; A.14.2.4; A.14.2.7 |
| SA-11 | Developer Security Testing and Evaluation | A.14.2.7; A.14.2.8 |
| SA-12 | Supply Chain Protections | A.14.2.7; A.15.1.1; A.15.1.2; A.15.1.3 |
| SA-13 | Trustworthiness | None |
| SA-14 | Criticality Analysis | None |
| SA-15 | Development Process; Standards; and Tools | A.6.1.5; A.14.2.1; |
| SA-16 | Developer-Provided Training | None |
| SA-17 | Developer Security Architecture and Design | A.14.2.1; A.14.2.5 |
| SA-18 | Tamper Resistance and Detection | None |
| SA-19 | Component Authenticity | None |
| SA-20 | Customized Development of Critical Components | None |
| SA-21 | Developer Screening | A.7.1.1 |
| SA-22 | Unsupported System Components | None |
| SC-1 | System and Communications Protection Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| SC-2 | Application Partitioning | None |
| SC-3 | Security Function Isolation | None |
| SC-4 | Information In Shared Resources | None |
| SC-5 | Denial of Service Protection | None |
| SC-6 | Resource Availability | None |
| SC-7 | Boundary Protection | A.13.1.1; A.13.1.3; A.13.2.1; A.14.1.3 |
| SC-8 | Transmission Confidentiality and Integrity | A.8.2.3; A.13.1.1; A.13.2.1; A.13.2.3; A.14.1.2; A.14.1.3 |
| SC-9 | Withdrawn | — |
| SC-10 | Network Disconnect | A.13.1.1 |
| SC-11 | Trusted Path | None |
| SC-12 | Cryptographic Key Establishment and Management | A.10.1.2 |
| SC-13 | Cryptographic Protection | A.10.1.1; A.14.1.2; A.14.1.3; A.18.1.5 |
| SC-14 | Withdrawn | — |
| SC-15 | Collaborative Computing Devices | A.13.2.1* |
| SC-16 | Transmission of Security Attributes | None |
| SC-17 | Public Key Infrastructure Certificates | A.10.1.2 |
| SC-18 | Mobile Code | None |
| SC-19 | Voice Over Internet Protocol | None |
| SC-20 | Secure Name/Address Resolution Service (Authoritative Source) | None |
| SC-21 | Secure Name/Address Resolution Service (Recursive or Caching Resolver) | None |
| SC-22 | Architecture and Provisioning for Name/Address Resolution Service | None |
| SC-23 | Session Authenticity | None |
| SC-24 | Fail in Known State | None |
| SC-25 | Thin Nodes | None |
| SC-26 | Honeypots | None |
| SC-27 | Platform-Independent Applications | None |
| SC-28 | Protection of Information at Rest | A.8.2.3* |
| SC-29 | Heterogeneity | None |
| SC-30 | Concealment and Misdirection | None |
| SC-31 | Covert Channel Analysis | None |
| SC-32 | Information System Partitioning | None |
| SC-33 | Withdrawn | — |
| SC-34 | Non-Modifiable Executable Programs | None |
| SC-35 | Honeyclients | None |
| SC-36 | Distributed Processing and Storage | None |
| SC-37 | Out-of-Band Channels | None |
| SC-38 | Operations Security | A.12.x |
| SC-39 | Process Isolation | None |
| SC-40 | Wireless Link Protection | None |
| SC-41 | Port and I/O Device Access | None |
| SC-42 | Sensor Capability and Data | None |
| SC-43 | Usage Restrictions | None |
| SC-44 | Detonation Chambers | None |
| SI-1 | System and Information Integrity Policy and Procedures | A.5.1.1; A.5.1.2; A.6.1.1; A.12.1.1; A.18.1.1; A.18.2.2 |
| SI-2 | Flaw Remediation | A.12.6.1; A.14.2.2; A.14.2.3; A.16.1.3 |
| SI-3 | Malicious Code Protection | A.12.2.1 |
| SI-4 | Information System Monitoring | None |
| SI-5 | Security Alerts; Advisories; and Directives | A.6.1.4* |
| SI-6 | Security Function Verification | None |
| SI-7 | Software; Firmware; and Information Integrity | None |
| SI-8 | Spam Protection | None |
| SI-9 | Withdrawn | – |
| SI-10 | Information Input Validation | None |
| SI-11 | Error Handling | None |
| SI-12 | Information Handling and Retention | None |
| SI-13 | Predictable Failure Prevention | None |
| SI-14 | Non-Persistence | None |
| SI-15 | Information Output Filtering | None |
| SI-16 | Memory Protection | None |
| SI-17 | Fail-Safe Procedures | None |
| PM-1 | Information Security Program Plan | A.5.1.1; A.5.1.2; A.6.1.1; A.18.1.1; A.18.2.2 |
| PM-2 | Senior Information Security Officer | A.6.1.1* |
| PM-3 | Information Security Resources | None |
| PM-4 | Plan of Action and Milestones Process | None |
| PM-5 | Information System Inventory | None |
| PM-6 | Information Security Measures of Performance | None |
| PM-7 | Enterprise Architecture | None |
| PM-8 | Critical Infrastructure Plan | None |
| PM-9 | Risk Management Strategy | None |
| PM-10 | Security Authorization Process | A.6.1.1* |
| PM-11 | Mission/Business Process Definition | None |
| PM-12 | Insider Threat Program | None |
| PM-13 | Information Security Workforce | A.7.2.2* |
| PM-14 | Testing; Training; and Monitoring | None |
| PM-15 | Contacts with Security Groups and Associations | A.6.1.4 |
| PM-16 | Threat Awareness Program | None |
