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{This section provides a listing of any applicable overlays applied to the NSS. An applied overlay should be used to complement the security control baselines and parameter values, and provides a specification of security controls and supporting guidance that may be more stringent or less stringent than the security controls and guidance complemented.
CNSSI 1253 Appendix K provides additional guidance on overlays.
The below format is a suggested way to capture those overlays that may be applied to an NSS, and should be a comprehensive listing of all applied overlays. If no overlays applied to this NSS, include a statement in this section along to the effect of, "No overlays apply to this NSS."
[Name of Overlay applicable to NSS, if any]
[Name of Overlay applicable to NSS, if any]}
{For DHS sensitive systems, use "No overlays apply to this system."}
Applicable Laws/ Regulations/Policies Affecting the System
Sensitive Systems Laws, Regulations, and Policies
Following are the laws and regulations that affect the system:
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Federal Information Security Management Act of 2002 (FISMA), 44 USC 3541 et seq., enacted as Title III of the E-Government Act of 2002, Pub L 107-347, 116 Stat 2899
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Office of Management and Budget (OMB) Circular A-130, "Management of Federal Information Resources," revised, November 30, 2000
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DHS Management Directive MD 140-01, "Information Technology Systems Security," July 31, 2007
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National Institute of Standards and Technology (NIST) Federal Information Processing Standard FIPS 200, "Minimum Security Requirements for Federal Information and Information Systems," March 2006
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NIST SP 800-53, Rev 3, "Recommended Security Controls for Federal Information Systems and Organizations," August 2009, with updated errata May 01, 2010
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DHS Sensitive Systems Policy Directive 4300A
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DHS Sensitive Systems Handbook 4300A
Component and System Specific Laws/Regulations/Policies:
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Department of Homelad Security Department of Homeland Security Sensitive Systems Policy Directive 4300A Version 10 TBD
(with 800-53 Rev 4)
National Security Systems Laws, Regulations, and Policies
For laws, regulations, and policies that apply to DHS national security systems, refer to 4300B.108-1.
2.0 Access Control (AC)
2.1
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Access Control Policy and Procedures
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AC-1
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Control: Access Control Policy and Procedures
The organization:
(a) Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
(1) An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and,
(2) Procedures to facilitate the implementation of the access control policy and associated access controls.
(b) Reviews and updates the current:
(1) Access control policy [Assignment: organization-defined frequency]; and,
(2) Access control procedures [Assignment: organization-defined frequency].
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Related control: PM-9.
References: NIST Special Publications 800-12, 800-100.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.2
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Access Control Policy and Procedures
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AC-1 (DHS-5.1.1.c)
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Control: Sharing of Personal Passwords
DHS users shall not share personal passwords.
Related control: IA-5.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.3
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Account Management
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AC-2
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Control: Account Management
The organization:
(a) Identifies the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
(b) Assigns account managers for information system accounts;
(c) Establishes conditions for group and role membership;
(d) Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
(e) Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
(f) Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
(g) Authorizes, and monitors the use of, information system accounts;
(h) Notifies account managers:
(1) When accounts are no longer required;
(2) When users are terminated or transferred; and,
(3) When individual information system usage or need-to-know changes;
(i) Authorizes access to the information system based on:
(1) A valid access authorization;
(2) Intended system usage; and,
(3) Other attributes as required by the organization or associated missions/business functions;
(j) Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
(k) Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
Supplemental Guidance
Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-2, IA-4, IA-5, IA-8, CM-5, CM-6, CM-11, MA-3, MA-4, MA-5, PL-4, SC-13.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.4
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Account Management
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AC-2 (1)
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Control: Account Management
The organization employs automated mechanisms to support the management of information system accounts.
Supplemental Guidance
The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
Related control: None.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.5
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Account Management
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AC-2 (2)
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Control: Account Management
The information system automatically [Selection: removes; disables] temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
Supplemental Guidance
This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
Related control: None.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.6
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Account Management
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AC-2 (3)
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Control: Account Management
The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
Supplemental Guidance
None.
Related control: None.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.7
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Account Management
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AC-2 (4)
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Control: Account Management
The information system automatically audits account creation, modification, enabling, disabling, and removal actions and notifies, as required, [Assignment: organization-defined personnel or roles].
Supplemental Guidance
None.
Related controls: AU-2, AU-12.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.8
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Account Management
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AC-2 (5)
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Control: Account Management
The organization requires that users log out when [Assignment: organization-defined time-period of expected inactivity or description of when to log out].
Supplemental Guidance
None.
Related control: SC-23.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.9
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Account Management
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AC-2 (11)
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Control: Account Management
The information system enforces [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined information system accounts].
Supplemental Guidance
Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.
Related control: None.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.10
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Access Enforcement
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AC-3
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Control: Access Enforcement
The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
Supplemental Guidance
Access control policies (e.g., identity-based policies, role-based policies, attribute-based policies) and access enforcement mechanisms (e.g., access control lists, access control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
Related controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC-22, AU-9, CM-5, CM-6, CM-11, MA-3, MA-4, MA-5, PE-3.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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2.11
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Access Enforcement
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AC-3 (DHS-5.1.1.d)
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Control: Access Enforcement
Use of group passwords is limited to situations dictated by operational necessity or critical for mission accomplishment. Use of a group User ID and password shall be approved by the appropriate Authorizing Official (AO).
Related control: IA-4.
References: None.
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Status:
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Implementation: Not Provided
Responsible Entitles:
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