RELEVANT INFORMATION:

The primary objective of DODA Shield is to facilitate the development of a comprehensive System Security Plan (SSP) and Plan of Action and Milestones (POA&M) for organizations. To achieve this, we have carefully curated and rearranged the controls in a manner that optimizes their implementation within a company’s context. Each control is accompanied by a link to detailed information, as well as a sample SSP and POA&M. These resources are intended to serve as valuable starting points, enabling organizations to enhance their security posture effectively and efficiently.

 

NIST 800-171 in logical order

Identify and manage system components and users:

03.05.01 Identify system users, processes acting on behalf of users, and devices.
03.04.01 Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles.

 

Design and implement secure access controls:

03.01.01 Limit system access to authorized users, processes acting on behalf of authorized users, and devices (including other systems).
03.01.02 Limit system access to the types of transactions and functions that authorized users are permitted to execute.

 

Employ robust user authentication mechanisms:

03.05.02 Authenticate (or verify) the identities of users, processes, or devices, as a prerequisite to allowing access to organizational systems.
03.05.03 Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts.
03.05.04 Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts.
03.05.07 Enforce a minimum password complexity and change of characters when new passwords are created.
03.01.08 Limit unsuccessful logon attempts.
03.05.05 Prevent reuse of identifiers for a defined period.
03.05.06 Disable identifiers after a defined period of inactivity.
03.05.08 Prohibit password reuse for a specified number of generations.
03.05.09 Allow temporary password use for system logons with an immediate change to a permanent password.
03.05.10 Store and transmit only cryptographically-protected passwords.
03.05.11 Obscure feedback of authentication information.

 

Implement security measures for remote and wireless access:

03.01.16 Authorize wireless access prior to allowing such connections.
03.01.17 Protect wireless access using authentication and encryption.
03.01.14 Route remote access via managed access control points.
03.01.12 Monitor and control remote access sessions.

03.01.13 Employ cryptographic mechanisms to protect the confidentiality of remote access sessions.

 

Secure mobile devices and external systems:

03.01.18 Control connection of mobile devices.
03.01.19 Encrypt CUI on mobile devices and mobile computing platforms.

03.01.20 Verify and control/limit connections to and use of external systems.
03.01.21 Limit use of portable storage devices on external systems.

 

Manage flow and access of Controlled Unclassified Information (CUI):

03.01.03 Control the flow of CUI in accordance with approved authorizations.
03.01.22 Control CUI posted or processed on publicly accessible systems.

 

Apply principle of least privilege and separation of duties:

03.01.04 Separate the duties of individuals to reduce the risk of malevolent activity without collusion.
03.01.05 Employ the principle of least privilege, including for specific security functions and privileged accounts.
03.01.06 Use non-privileged accounts or roles when accessing non-security functions.
03.01.07 Prevent non-privileged users from executing privileged functions and capture the execution of such functions in audit logs.

 

Ensure privacy and session security:

03.01.09 Provide privacy and security notices consistent with applicable CUI rules.
03.01.10 Use session lock with pattern-hiding displays to prevent access and viewing of data after a period of inactivity.
03.01.11 Terminate (automatically) a user session after a defined condition.

 

Protect system media containing CUI:

03.08.01 Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital.
03.08.02 Limit access to CUI on system media to authorized users.
03.08.03 Sanitize or destroy system media containing CUI before disposal or release for reuse.
03.08.04 Mark media with necessary CUI markings and distribution limitations.
03.08.05 Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas.
03.08.06 Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards.
03.08.07 Control the use of removable media on system components.
03.08.08 Prohibit the use of portable storage devices when such devices have no identifiable owner.
03.08.09 Protect the confidentiality of backup CUI at storage locations.

 

Maintain and implement robust configuration management practices:

03.04.02 Establish and enforce security configuration settings for information technology products employed in organizational systems.
03.04.03 Track, review, approve, or disapprove, and log changes to organizational systems.
03.04.04 Analyze the security impact of changes prior to implementation.
03.04.05 Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems.
03.04.06 Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities.
03.04.07 Restrict, disable, and prevent the use of nonessential functions, ports, protocols, and services.
03.04.08 Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software.
03.04.09 Control and monitor user-installed software.

 

Implement maintenance policies and procedures:

03.06.01 Establish an operational incident-handling capability for organizational systems
03.06.02 Track, document, and report incidents
03.06.03 Test the organizational incident response capability

 

Manage and control system and information integrity:

03.11.01 Identify, report, and correct information and system flaws in a timely manner.
03.11.02 Provide protection from malicious code at appropriate locations within organizational systems.
03.11.03 Update malicious code protection mechanisms when new releases are available.

 

Ensure secure communication and collaboration::

03.13.01 Monitor, control, and protect organizational communications (i.e., information transmitted or received by organizational systems) at the external boundaries and key internal boundaries of organizational systems.
03.13.02 Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.
03.13.03 Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception, or permit all, deny by exception).
03.13.04 Prevent remote devices from simultaneously establishing non-remote connections with organizational systems and communicating via some other connection to resources in external networks (i.e., split tunneling).
03.13.05 Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards.
03.13.06 Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity.
03.13.07 Establish and manage cryptographic keys for cryptography employed in organizational systems.
03.13.08 Employ FIPS-validated cryptography when used to protect the confidentiality of CUI.
03.13.09 Control and monitor the use of mobile code.
03.13.10 Control and monitor the use of Voice over Internet Protocol (VoIP) technologies.
03.13.11 Protect the confidentiality of CUI at rest.
03.13.12 Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems.

 

System Security and Vulnerability Management:

03.14.01 identify, report, and correct information and system flaws in a timely manner.
03.14.02  Provide protection from malicious code at designated locations within organizational systems.
03.14.03 Monitor system security alerts and advisories and take action in response
03.14.04 Employ secure coding techniques and industry-standard secure coding guidelines in the development of software.
03.14.05 Conduct regular system scans and real-time scans for files from external sources during download, opening, or execution.

 

Manage system and communications protection:

 

03.13.13 Prohibit remote activation of collaborative computing devices and provide indication of use to users.
03.13.14 Use encrypted sessions for the management of network devices.
Implement system and information integrity measures:

 

Manage and control physical protection:

03.10.01 Limit physical access to organizational systems, equipment, and the respective operating environments to authorized individuals.
03.10.02 Protect and monitor the physical facility and support infrastructure for organizational systems.
03.10.03 Escort visitors and monitor visitor activity.
03.10.04 Maintain audit logs of physical access.
03.10.05 Control and manage physical access devices.
03.10.06 Enforce safeguarding measures for CUI at alternative work sites.

 

Implement personnel security measures:

03.09.01 Screen individuals prior to authorizing access to organizational systems containing CUI.
03.09.02 Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers.

 

Establish and manage risk assessment processes:

03.12.04 Update system security plans to address system/component changes.

Enhance Security Awareness and Training:

03.02.01 – Ensure that managers, systems administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems.
03.02.02 – Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities.
03.02.03 – Provide security awareness training on recognizing and reporting potential indicators of insider threat.

 

Implement Secure Remote Execution and Communication Controls:

 

03.01.15 – Authorize remote execution of privileged commands and remote access to security-relevant information.
03.13.15 – Protect the authenticity of communications sessions.
03.13.16 – Protect the confidentiality of CUI at rest.

 

Implement Maintenance Policies and Procedures (Enhanced):

03.07.01 – Perform maintenance on organizational systems.
03.07.02 – Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance.
03.07.03 – Ensure equipment removed for off-site maintenance is sanitized of any CUI.
03.07.04 – Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems.
03.07.05 – Require multifactor authentication to establish nonlocal maintenance sessions via external network connections and terminate such connections when nonlocal maintenance is complete.
03.07.06 – Supervise the maintenance activities of maintenance personnel without required access authorization.

 

Strengthen Audit and Accountability Measures:

03.03.01 – Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity.
03.03.02 – Ensure that the actions of individual system users can be uniquely traced to those users, so they can be held accountable for their actions.
03.03.03 – Review and update logged events.
03.03.04 – Alert in the event of an audit logging process failure.
03.03.05 – Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity.
03.03.06 – Provide audit record reduction and report generation to support on-demand analysis and reporting.
03.03.07 – Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate timestamps for audit records.
03.03.08 – Protect audit information and audit logging tools from unauthorized access, modification, and deletion.
03.03.09 – Limit management of audit logging functionality to a subset of privileged users.

 

Monitor and Defend against Attacks:

03.14.06 – Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks.
03.14.07 – Identify unauthorized use of organizational systems.

 

Assess and manage risks::

03.12.01 Periodically assess the security controls in organizational systems to determine if the controls are effective in their application.
03.12.02 Develop and implement plans of action designed to correct deficienies and reduce or eliminate vulnerabilities in organizational systems.
03.12.03 Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls.