# DBIS NIST 800-53 SECURITY CONTROLS ## Comprehensive Security Control Framework **Document Number:** DBIS-DOC-SEC-002 **Version:** 1.0 **Date:** [YYYY-MM-DD] **Classification:** CONFIDENTIAL **Authority:** DBIS Security Department **Approved By:** [Signature Block] --- ## PREAMBLE This document maps DBIS security requirements to NIST SP 800-53 (Security and Privacy Controls for Information Systems and Organizations) controls, ensuring comprehensive security coverage aligned with federal standards. --- ## PART I: CONTROL FAMILIES ### Section 1.1: Access Control (AC) **AC-1: Access Control Policy and Procedures** - Policy: DBIS Access Control Policy - Procedures: Access Control Procedures Manual - Review: Annual review required **AC-2: Account Management** - Account creation procedures - Account modification procedures - Account removal procedures - Account review procedures **AC-3: Access Enforcement** - Role-based access control (RBAC) - Attribute-based access control (ABAC) - Access control lists (ACLs) - Enforcement mechanisms **AC-4: Information Flow Enforcement** - Flow control policies - Flow enforcement mechanisms - Flow monitoring - Flow logging **AC-5: Separation of Duties** - Duty separation requirements - Implementation procedures - Verification procedures - Compliance monitoring --- ### Section 1.2: Awareness and Training (AT) **AT-1: Awareness and Training Policy** - Training policy - Training procedures - Training requirements - Training documentation **AT-2: Security Awareness Training** - Initial training - Annual training - Role-specific training - Training content **AT-3: Role-Based Security Training** - Role-specific training - Training frequency - Training content - Training verification --- ### Section 1.3: Audit and Accountability (AU) **AU-1: Audit and Accountability Policy** - Audit policy - Audit procedures - Audit requirements - Audit documentation **AU-2: Audit Events** - Event types - Event selection - Event logging - Event storage **AU-3: Content of Audit Records** - Record content - Record format - Record retention - Record protection **AU-4: Audit Storage Capacity** - Storage capacity planning - Storage management - Storage monitoring - Storage alerts **AU-5: Response to Audit Processing Failures** - Failure detection - Failure response - Failure notification - Failure recovery --- ### Section 1.4: Security Assessment and Authorization (CA) **CA-1: Security Assessment and Authorization Policy** - Assessment policy - Authorization policy - Procedures - Documentation **CA-2: Security Assessments** - Assessment frequency - Assessment scope - Assessment methods - Assessment documentation **CA-3: System Interconnections** - Interconnection agreements - Interconnection security - Interconnection monitoring - Interconnection management **CA-4: Security Certification** - Certification process - Certification documentation - Certification review - Certification maintenance **CA-5: Plan of Action and Milestones** - POA&M process - POA&M tracking - POA&M reporting - POA&M closure --- ### Section 1.5: Configuration Management (CM) **CM-1: Configuration Management Policy** - CM policy - CM procedures - CM requirements - CM documentation **CM-2: Baseline Configuration** - Baseline definition - Baseline maintenance - Baseline documentation - Baseline control **CM-3: Configuration Change Control** - Change control process - Change approval - Change implementation - Change verification **CM-4: Security Impact Analysis** - Impact analysis process - Impact assessment - Impact documentation - Impact mitigation **CM-5: Access Restrictions for Change** - Access restrictions - Change authorization - Change tracking - Change verification --- ### Section 1.6: Contingency Planning (CP) **CP-1: Contingency Planning Policy** - CP policy - CP procedures - CP requirements - CP documentation **CP-2: Contingency Plan** - Plan development - Plan content - Plan maintenance - Plan testing **CP-3: Contingency Training** - Training requirements - Training content - Training frequency - Training documentation **CP-4: Contingency Plan Testing** - Testing requirements - Testing frequency - Testing procedures - Testing documentation **CP-5: Contingency Plan Update** - Update triggers - Update process - Update documentation - Update approval --- ### Section 1.7: Identification and Authentication (IA) **IA-1: Identification and Authentication Policy** - IA policy - IA procedures - IA requirements - IA documentation **IA-2: Identification and Authentication (Organizational Users)** - User identification - User authentication - Authentication methods - Authentication strength **IA-3: Device Identification and Authentication** - Device identification - Device authentication - Device management - Device monitoring **IA-4: Identifier Management** - Identifier assignment - Identifier management - Identifier revocation - Identifier reuse **IA-5: Authenticator Management** - Authenticator selection - Authenticator strength - Authenticator management - Authenticator protection --- ### Section 1.8: Incident Response (IR) **IR-1: Incident Response Policy** - IR policy - IR procedures - IR requirements - IR documentation **IR-2: Incident Response Training** - Training requirements - Training content - Training frequency - Training documentation **IR-3: Incident Response Testing** - Testing requirements - Testing frequency - Testing procedures - Testing documentation **IR-4: Incident Handling** - Handling procedures - Handling team - Handling tools - Handling documentation **IR-5: Incident Monitoring** - Monitoring procedures - Monitoring tools - Monitoring alerts - Monitoring reporting --- ### Section 1.9: Maintenance (MA) **MA-1: System Maintenance Policy** - Maintenance policy - Maintenance procedures - Maintenance requirements - Maintenance documentation **MA-2: Controlled Maintenance** - Maintenance procedures - Maintenance authorization - Maintenance documentation - Maintenance verification **MA-3: Maintenance Tools** - Tool management - Tool security - Tool monitoring - Tool documentation **MA-4: Non-Local Maintenance** - Remote maintenance procedures - Remote maintenance security - Remote maintenance monitoring - Remote maintenance documentation --- ### Section 1.10: Media Protection (MP) **MP-1: Media Protection Policy** - MP policy - MP procedures - MP requirements - MP documentation **MP-2: Media Access** - Access controls - Access authorization - Access logging - Access monitoring **MP-3: Media Marking** - Marking requirements - Marking procedures - Marking verification - Marking documentation **MP-4: Media Storage** - Storage requirements - Storage security - Storage monitoring - Storage documentation **MP-5: Media Transport** - Transport procedures - Transport security - Transport documentation - Transport tracking --- ### Section 1.11: Physical and Environmental Protection (PE) **PE-1: Physical and Environmental Protection Policy** - PE policy - PE procedures - PE requirements - PE documentation **PE-2: Physical Access Authorizations** - Authorization procedures - Authorization management - Authorization review - Authorization documentation **PE-3: Physical Access Control** - Access control systems - Access control procedures - Access control monitoring - Access control documentation **PE-4: Access Control for Transmission Medium** - Medium protection - Medium access control - Medium monitoring - Medium documentation **PE-5: Access Control for Output Devices** - Device protection - Device access control - Device monitoring - Device documentation --- ### Section 1.12: Planning (PL) **PL-1: Security Planning Policy** - Planning policy - Planning procedures - Planning requirements - Planning documentation **PL-2: System Security Plan** - Plan development - Plan content - Plan maintenance - Plan approval **PL-3: System Security Plan Update** - Update triggers - Update process - Update documentation - Update approval **PL-4: Rules of Behavior** - Rules development - Rules content - Rules enforcement - Rules documentation --- ### Section 1.13: Program Management (PM) **PM-1: Information Security Program Plan** - Program plan - Program objectives - Program resources - Program management **PM-2: Senior Information Security Officer** - Officer designation - Officer responsibilities - Officer authority - Officer reporting **PM-3: Information Security Resources** - Resource planning - Resource allocation - Resource management - Resource reporting **PM-4: Plan of Action and Milestones Process** - POA&M process - POA&M management - POA&M tracking - POA&M reporting --- ### Section 1.14: Personnel Security (PS) **PS-1: Personnel Security Policy** - PS policy - PS procedures - PS requirements - PS documentation **PS-2: Position Risk Designation** - Risk designation process - Risk designation criteria - Risk designation review - Risk designation documentation **PS-3: Personnel Screening** - Screening procedures - Screening requirements - Screening documentation - Screening verification **PS-4: Personnel Termination** - Termination procedures - Termination security - Termination documentation - Termination verification --- ### Section 1.15: Risk Assessment (RA) **RA-1: Risk Assessment Policy** - RA policy - RA procedures - RA requirements - RA documentation **RA-2: Security Categorization** - Categorization process - Categorization criteria - Categorization documentation - Categorization review **RA-3: Risk Assessment** - Assessment process - Assessment methods - Assessment documentation - Assessment review **RA-4: Risk Assessment Update** - Update triggers - Update process - Update documentation - Update approval --- ### Section 1.16: System and Services Acquisition (SA) **SA-1: System and Services Acquisition Policy** - SA policy - SA procedures - SA requirements - SA documentation **SA-2: Allocation of Resources** - Resource allocation - Resource planning - Resource management - Resource reporting **SA-3: System Development Life Cycle** - SDLC process - SDLC phases - SDLC documentation - SDLC management **SA-4: Acquisition Process** - Acquisition procedures - Acquisition requirements - Acquisition documentation - Acquisition management --- ### Section 1.17: System and Communications Protection (SC) **SC-1: System and Communications Protection Policy** - SC policy - SC procedures - SC requirements - SC documentation **SC-2: Application Partitioning** - Partitioning requirements - Partitioning implementation - Partitioning verification - Partitioning documentation **SC-3: Security Function Isolation** - Isolation requirements - Isolation implementation - Isolation verification - Isolation documentation **SC-4: Information in Shared Resources** - Resource sharing controls - Resource sharing security - Resource sharing monitoring - Resource sharing documentation **SC-5: Denial of Service Protection** - DoS protection mechanisms - DoS protection configuration - DoS protection monitoring - DoS protection documentation **SC-7: Boundary Protection** - Boundary definition - Boundary controls - Boundary monitoring - Boundary documentation **SC-8: Transmission Confidentiality and Integrity** - Transmission security - Transmission encryption - Transmission integrity - Transmission documentation **SC-12: Cryptographic Key Establishment and Management** - Key management procedures - Key management security - Key management documentation - Key management compliance **SC-13: Cryptographic Protection** - Cryptographic requirements - Cryptographic implementation - Cryptographic verification - Cryptographic documentation --- ### Section 1.18: System and Information Integrity (SI) **SI-1: System and Information Integrity Policy** - SI policy - SI procedures - SI requirements - SI documentation **SI-2: Flaw Remediation** - Flaw identification - Flaw remediation - Flaw verification - Flaw documentation **SI-3: Malicious Code Protection** - Protection mechanisms - Protection configuration - Protection monitoring - Protection documentation **SI-4: System Monitoring** - Monitoring requirements - Monitoring tools - Monitoring procedures - Monitoring documentation **SI-5: Security Alerts, Advisories, and Directives** - Alert procedures - Alert distribution - Alert response - Alert documentation **SI-6: Security Function Verification** - Verification requirements - Verification procedures - Verification documentation - Verification reporting **SI-7: Software, Firmware, and Information Integrity** - Integrity requirements - Integrity verification - Integrity protection - Integrity documentation --- ## PART II: CONTROL IMPLEMENTATION ### Section 2.1: Control Selection **Selection Criteria:** - System categorization - Risk assessment - Threat analysis - Compliance requirements **Selection Process:** - Control identification - Control evaluation - Control selection - Control documentation --- ### Section 2.2: Control Implementation **Implementation Process:** - Implementation planning - Implementation execution - Implementation verification - Implementation documentation **Implementation Standards:** - NIST SP 800-53 controls - DBIS-specific controls - Industry best practices - Regulatory requirements --- ### Section 2.3: Control Assessment **Assessment Process:** - Assessment planning - Assessment execution - Assessment documentation - Assessment reporting **Assessment Methods:** - Testing - Inspection - Interview - Observation --- ## PART III: CONTINUOUS MONITORING ### Section 3.1: Monitoring Framework **Monitoring Requirements:** - Continuous monitoring - Automated monitoring - Manual monitoring - Periodic assessments **Monitoring Tools:** - Security information and event management (SIEM) - Vulnerability scanners - Configuration management tools - Compliance monitoring tools --- ### Section 3.2: Monitoring Procedures **Procedures Include:** - Monitoring configuration - Monitoring execution - Monitoring analysis - Monitoring reporting --- ## APPENDICES ### Appendix A: Control Mapping - Control to requirement mapping - Control to implementation mapping ### Appendix B: Assessment Procedures - Detailed assessment procedures - Assessment checklists --- **END OF NIST 800-53 SECURITY CONTROLS**