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NIST Security Controls Implementation Guide

The following table outlines key NIST security controls from SP 800-53 with practical implementation guidance:

Control ID Control Title Control Category
AC-1 - Access Control Policy and Procedure Access Controls Develop a formal access control policy, including least privilege principle. Define and enforce rules for user access rights based on roles and responsibilities.
AC-2 - Identification and Authentication Access Controls Implement multifactor authentication (password + token/biometric) for all users, especially administrators. Regularly review and update authentication methods to ensure they remain secure.
AC-3 - Access Enforcement Access Controls Enforce access control policies via automated tools or manual verification. Use access certification processes periodically.
AC-4 - Audit Record Content Audit and Accountability Log security-relevant events such as login attempts, changes, and system modifications. Store logs securely with configured retention policies.
AC-5 - Transmission Security Transmission Security Encrypt sensitive data during transmission using appropriate cryptographic protocols (e.g., TLS/SSL).
AU-1 - Audit Policy and Procedure Audit and Accountability Develop a formal audit policy, outlining frequency, scope, and methods for conducting audits.
AU-2 - Audit Event Collection and Transmission Audit and Accountability Implement mechanisms to collect and transmit audit logs securely to an appropriate storage location.
AU-3 - Audit Record Content Audit and Accountability Log security-relevant events like login attempts, changes, and system modifications. Store logs securely with configured retention policies.
AU-4 - Audit Processing and Analysis Audit and Accountability Use automated tools or manual processes to analyze audit records for anomalies and potential threats.
AU-5 - Audit Report Generation and Distribution Audit and Accountability Generate periodic reports summarizing audit findings, distributing them to appropriate stakeholders.
MA-2 - Media Protection Media Security Encrypt data on removable media, store it in secured locations, and limit access to authorized personnel.
MA-3 - Removable/Portable Media Control Media Security Limit the use of removable/portable media by implementing policies and procedures for approval, storage, and access controls.
MA-4 - Media Protection Media Security Encrypt data on removable media, store it in secured locations, and limit access to authorized personnel.
PS-1 - Personnel Screening Personnel Security Implement a comprehensive personnel screening program that includes background checks for employees and contractors.
PS-2 - Personnel Background Investigation Personnel Security Conduct periodic background investigations on personnel with access to sensitive information or systems.
PS-3 - Personnel Access Review Personnel Security Periodically review personnel security clearances, access rights, and overall suitability for their roles.
PL-1 - Position-Specific Training Privacy Controls Provide position-specific training on privacy requirements and responsibilities to employees who handle sensitive information.
PL-2 - Incident Response Plan Privacy Controls Establish a plan to respond to privacy incidents, including procedures for containment, notification, and mitigation.
PL-3 - Notification of Privacy Breaches Privacy Controls Develop procedures for notifying affected parties in case of a privacy breach or data exfiltration event.
PL-4 - Data Minimization Privacy Controls Limit the collection and retention of personal information to what is necessary for organizational purposes.
PL-5 - Retention Privacy Controls Define and implement data retention periods based on legal, regulatory, or business requirements.
PL-6 - Deletion of Unnecessary Personal Information Privacy Controls Establish processes for secure deletion of personal information when it is no longer needed.
SI-1 - System Development System Development Implement a formal system development process with security controls integrated into each phase, including planning, design, coding, and testing.
SI-2 - Supply Chain Risk Management System Development Assess potential risks in the supply chain for hardware, software, or services, and take appropriate mitigations to protect against threats.
SI-3 - Data Integrity Data Integrity Implement mechanisms to ensure data integrity, including checksums, hashes, and digital signatures for critical data.
SI-4 - System Maintenance System Maintenance Establish regular software updates, patch deployments, and system monitoring with clear incident response procedures.
SI-5 - Organizational Security Policy System Maintenance Develop a formal security policy that addresses organizational roles, responsibilities, and expectations for system maintenance activities.
SI-6 - Security Assessment and Authorization System Maintenance Conduct regular security assessments and authorization processes to validate ongoing suitability of systems and components.
SI-7 - Configuration Management Plan System Maintenance Develop a formal configuration management plan that covers versioning, change control, and impact assessment for system configurations.
CM-1 - Identification of Content Controlled Access Information Categorize information based on sensitivity and apply appropriate protection controls according to its classification level.
CM-2 - Classification Controlled Access Information Implement a formal process for classifying information based on its sensitivity and potential impact if disclosed or compromised.
CM-3 - Safeguarding Controlled Access Information Apply safeguards commensurate with the classification level of controlled access information (e.g., encryption, access controls).
CM-4 - Distribution Controlled Access Information Restrict distribution and sharing of controlled access information according to its classification level and organizational need-to-know.
CM-5 - Monitoring and Reporting Controlled Access Information Establish mechanisms for monitoring access and use of controlled access information, including auditing and reporting capabilities.
CM-6 - Audit Record Retention Controlled Access Information Preserve audit records related to controlled access information in secure storage, with defined retention periods based on legal, regulatory, or business requirements.
CM-7 - System Security Plan Controlled Access Information Develop a system security plan that addresses protection of controlled access information across the system lifecycle.
CA-1 - Identification and Authentication Configuration Management Implement strong identification and authentication mechanisms for all users accessing systems and data.
CA-2 - Configuration Management Configuration Management Establish a formal configuration management program with version control, change management, and regular audits. Set baseline configurations and monitor for deviations.
CA-3 - Configuration Control Configuration Management Implement controls to manage changes in system configurations, including approval processes, review boards, and documentation.
CA-4 - Identification and Authentication of Devices Device Management Ensure devices connecting to systems are authenticated and authorized according to organizational policies.
MA-1 - Media Protection Service Media Security Establish a media protection service that includes encryption, access controls, and secure disposal processes for removable/portable media.
SC-1 - Incident Response Plan System Architecture Design and Implementation Develop an incident response plan outlining procedures for containing, eradicating, and recovering from security incidents.
SC-2 - Incident Response Team System Architecture Design and Implementation Identify a formal incident response team with defined roles and responsibilities to manage potential security incidents.
SC-3 - Communication Plan System Architecture Design and Implementation Establish a communication plan for disseminating information regarding security incidents, both internally and externally as needed.
SC-4 - Incident Response Policy System Architecture Design and Implementation Develop an incident response policy that defines the organizational approach to responding to security incidents, including escalation procedures.
SC-5 - Incident Response Coordination System Architecture Design and Implementation Define coordination processes for engaging internal and external stakeholders (e.g., law enforcement, vendors) during a security incident.
SC-6 - Information Sharing System Architecture Design and Implementation Develop formal mechanisms for sharing information related to security threats and incidents with trusted partners or organizations.
SC-7 - Incident Response Metrics System Architecture Design and Implementation Define metrics for evaluating the effectiveness of security incident response efforts, including response time, containment efficiency, and recovery speed.
SI-1 - System Development System Architecture Design and Implementation Implement a formal system development process with security controls integrated into each phase, including planning, design, coding, and testing.
SI-2 - Supply Chain Risk Management System Architecture Design and Implementation Assess potential risks in the supply chain for hardware, software, or services, and take appropriate mitigations to protect against threats.
SI-3 - Data Integrity System Architecture Design and Implementation Implement mechanisms to ensure data integrity, including checksums, hashes, and digital signatures for critical data.
SI-4 - System Maintenance System Architecture Design and Implementation Establish regular software updates, patch deployments, and system monitoring with clear incident response procedures.
SC-8 - Software Component Verification System Architecture Design and Implementation Verify the integrity of third-party software components by validating cryptographic signatures or hashes before deployment.
PR-1 - Publicly Disclosed Vulnerabilities Program Management Implement a process for identifying, tracking, and prioritizing remediation efforts for publicly disclosed vulnerabilities affecting organizational systems.
PR-2 - Privately Disclosed Vulnerabilities Program Management Establish procedures for receiving, evaluating, and responding to privately disclosed vulnerabilities by vendors or researchers.
PR-3 - System Inventory Program Management Maintain an up-to-date inventory of all systems within the organization's environment, including hardware, software, and firmware configurations.
PL-1 - Privacy Impact Assessment Privacy Controls Conduct privacy impact assessments for new projects or initiatives to identify potential privacy risks and mitigations before implementation.
PL-2 - Privacy Policies and Practices Privacy Controls Establish formal privacy policies and practices that define organizational expectations regarding collection, use, retention, and disclosure of personal information.
PL-3 - Data Minimization Privacy Controls Limit the collection and retention of personal information to what is necessary for organizational purposes.
PL-4 - Retention Privacy Controls Define and implement data retention periods based on legal, regulatory, or business requirements.
PL-5 - Deletion of Unnecessary Personal Information Privacy Controls Establish processes for secure deletion of personal information when it is no longer needed.
CA-3 - Configuration Control Configuration Management Implement controls to manage changes in system configurations, including approval processes, review boards, and documentation.
CM-1 - Identification of Content Controlled Access Information Categorize information based on sensitivity and apply appropriate protection controls according to its classification level.
CM-2 - Classification Controlled Access Information Implement a formal process for classifying information based on its sensitivity and potential impact if disclosed or compromised.
CM-3 - Safeguarding Controlled Access Information Apply safeguards commensurate with the classification level of controlled access information (e.g., encryption, access controls).
CM-4 - Distribution Controlled Access Information Restrict distribution and sharing of controlled access information according to its classification level and organizational need-to-know.
CM-5 - Monitoring and Reporting Controlled Access Information Establish mechanisms for monitoring access and use of controlled access information, including auditing and reporting capabilities.
CM-6 - Audit Record Retention Controlled Access Information Preserve audit records related to controlled access information in secure storage, with defined retention periods based on legal, regulatory, or business requirements.
CM-7 - System Security Plan Controlled Access Information Develop a system security plan that addresses protection of controlled access information across the system lifecycle.
PL-6 - Data Sharing Privacy Controls Establish formal processes for sharing personal information with third parties while ensuring compliance with legal, regulatory, or contractual obligations.
SC-9 - Information System Component Security Plan System Architecture Design and Implementation Develop a security plan for each critical system component, including security controls, risk mitigations, and monitoring strategies.
SI-8 - System Development Process System Architecture Design and Implementation Implement a formal system development process that includes security considerations at every stage, from initial planning through deployment and maintenance.
SC-10 - Incident Response Plan Update System Architecture Design and Implementation Regularly update the incident response plan to address emerging threats, new technologies, or organizational changes.
PR-4 - Vulnerability Scanning Program Management Implement a program of regular vulnerability scanning across organizational systems to identify potential security weaknesses.
PL-7 - Privacy Impact Assessment Update Privacy Controls Periodically review and update privacy impact assessments as system changes, new technologies are adopted, or regulatory requirements evolve.
CA-4 - Identification and Authentication of Devices Device Management Ensure devices connecting to systems are authenticated and authorized according to organizational policies, including endpoint security configurations and access controls.
CA-5 - Security Technical Implementation Guides Configuration Management Utilize formal security technical implementation guides (STIGs) or other technical standards to enforce consistent configuration settings across the organization's system landscape.
SC-11 - Network Security Planning System Architecture Design and Implementation Develop a network security plan that addresses secure design, segmentation, and monitoring of organizational networks.
SI-9 - System Development Life Cycle Methodology Selection System Architecture Design and Implementation Select an established system development life cycle methodology (e.g., Agile, Waterfall) to provide a structured approach for managing system development projects within the organization.
PR-5 - Automated Indicators of Compromise Program Management Implement automated systems or processes for detecting indicators of compromise (IOCs) across organizational networks and endpoints to facilitate rapid response to security incidents.
SC-12 - Network Configuration Monitoring System Architecture Design and Implementation Establish monitoring mechanisms to track changes in network configurations, including access control lists, routing tables, and firewall rules.
CA-6 - Access Enforcement Identification and Authentication Implement access enforcement controls at all system entry points, including firewalls, routers, and application gateways, to ensure adherence to the principle of least privilege (PoLP).
SC-13 - Network Segmentation Planning System Architecture Design and Implementation Develop a formal plan for network segmentation that addresses logical isolation and access controls between critical system components and sensitive data.
SI-10 - System Development Life Cycle Methodology Training System Architecture Design and Implementation Provide training to development teams on the selected system development life cycle methodology, ensuring consistent application across projects.
PR-6 - Supply Chain Risk Management Program Management Implement a supply chain risk management process that evaluates potential risks associated with third-party vendors, software components, or services used within organizational systems.
CA-7 - Wireless Access Controls Identification and Authentication Establish access control measures for wireless network infrastructure to prevent unauthorized access, ensuring encryption and authentication mechanisms are in place.
SC-14 - Network Security Monitoring System Architecture Design and Implementation Implement ongoing monitoring of organizational networks to detect anomalous or malicious activities that may indicate a security incident.
SI-11 - System Development Life Cycle Methodology Adaptation System Architecture Design and Implementation Regularly review and adapt the selected system development life cycle methodology to accommodate new technologies, emerging threats, or organizational requirements.
PR-7 - Automated Vulnerability Scanning for Host Systems Program Management Implement automated vulnerability scanning of host systems within the organization's environment to identify potential security weaknesses and prioritize remediation efforts.
CA-8 - Media Protection Service Device Management Establish a media protection service that includes encryption, access controls, and secure disposal processes for removable/portable media used across the organization's system landscape.
SC-15 - Network Traffic Analysis System Architecture Design and Implementation Implement network traffic analysis capabilities to identify abnormal or malicious patterns within organizational network communications.
PR-8 - Third-Party Risk Management Program Management Establish a third-party risk management process that assesses the security posture of critical vendors, service providers, and software components used within organizational systems.
CA-9 - Remote Access Controls Identification and Authentication Implement controls to secure remote access mechanisms, including virtual private networks (VPNs), remote desktop protocols, or other forms of remote connectivity.
SC-16 - Security Monitoring Planning System Architecture Design and Implementation Develop a security monitoring plan that addresses the organizational approach for collecting, analyzing, and acting upon security-related data from various sources across the system landscape.
SI-12 - System Development Life Cycle Methodology Review System Architecture Design and Implementation Periodically review the selected system development life cycle methodology to ensure continued relevance and alignment with organizational objectives, security standards, and emerging technologies.
PR-9 - Security Incident Response Plan Update Program Management Regularly update the security incident response plan to reflect lessons learned from past incidents, changes in threat landscape, or evolving organizational requirements.
CA-10 - Physical Access Controls Identification and Authentication Implement physical access control measures, including badge systems, biometric authentication, or mantrap facilities, to restrict unauthorized individuals' entry into critical system areas.
SC-17 - Security Monitoring for Virtualization and Cloud Services System Architecture Design and Implementation Establish security monitoring capabilities specifically tailored for virtualized environments and cloud services, ensuring consistent application of organizational security policies across diverse infrastructure types.
PR-10 - Automated Threat Intelligence Sharing Program Management Implement automated systems or processes for sharing threat intelligence with trusted partners, industry groups, or public repositories to enhance the overall security posture of organizational systems.
CA-11 - Media Protection Service for Virtual and Cloud Systems Device Management Extend media protection services to include virtualized environments and cloud services, ensuring encryption, access controls, and secure disposal processes are in place for digital artifacts stored or transmitted across these platforms.
SC-18 - Security Monitoring for Third-Party Services System Architecture Design and Implementation Implement security monitoring capabilities specifically designed for third-party services and platforms integrated into the organization's system landscape to ensure ongoing compliance with service level agreements (SLAs) and security standards.
SI-13 - System Development Life Cycle Methodology Documentation System Architecture Design and Implementation Develop and maintain formal documentation of the selected system development life cycle methodology, including process workflows, templates, and training materials for organizational teams.
PR-11 - Automated Vulnerability Scanning for Host Systems in Virtual Environments Program Management Implement automated vulnerability scanning tailored to virtualized host systems within the organization's environment, ensuring comprehensive security assessment across diverse infrastructure types.
CA-12 - Mobile Device Security Controls Identification and Authentication Establish mobile device security controls, including encryption, remote wipe capabilities, and access control mechanisms, to protect sensitive data accessed or stored on mobile devices used within the organization's system landscape.
SC-19 - Data Center Network Segmentation System Architecture Design and Implementation Implement network segmentation strategies specifically tailored for data center environments, addressing logical isolation and access controls between critical systems and sensitive data.
PR-12 - Automated Security Orchestration and Response Program Management Implement automated security orchestration and response capabilities to streamline the detection, analysis, and remediation of security incidents across organizational systems and technologies.
SI-14 - System Development Life Cycle Methodology Training for Project Managers System Architecture Design and Implementation Provide training to project managers on the selected system development life cycle methodology, ensuring consistent application and understanding of methodologies across projects and teams.
PR-13 - Automated Security Configuration Management Program Management Implement automated security configuration management processes that enforce organizational security policies and standards across diverse systems and environments, reducing manual errors and improving consistency.
CA-13 - Media Protection Service for Mobile Devices Device Management Establish a media protection service specifically designed for mobile devices used within the organization's system landscape, ensuring encryption, access controls, and secure disposal processes are in place for digital artifacts accessed or stored on these devices.
SC-20 - Security Monitoring for Cloud Services System Architecture Design and Implementation Implement security monitoring capabilities specifically tailored for cloud services and platforms integrated into the organization's system landscape, ensuring ongoing compliance with service level agreements (SLAs) and security standards.

Plain English Explanation of NIST Controls:

  1. AC-2: Encrypt Data in Transit

    • Use encryption protocols such as Transport Layer Security (TLS) or Secure Sockets Layer (SSL) to protect data during transmission, ensuring sensitive information remains confidential and secure from unauthorized access.

  2. AC-5: Implement a Public Key Infrastructure (PKI)

    • Establish a PKI framework that includes certificate authorities, registration authorities, and key management processes to securely manage digital certificates for identity verification, data encryption, and nonrepudiation in electronic transactions.

  3. AU-2: Control Nonpublic Facing Ports

    • Implement access controls and firewall rules to restrict unauthorized access to nonpublic facing ports on systems and devices within the organization's network perimeter, ensuring only authorized traffic can traverse these communication channels.

  4. AU-5: Protect System Components from Unintended Modification

    • Utilize file integrity monitoring tools, access controls, and configuration management practices to detect unauthorized changes to system components, software, and configurations, ensuring the security and stability of organizational systems.

  5. BM-3: Implement a Data Backup and Restore Plan

    • Develop and maintain a comprehensive data backup plan that includes regular backups of critical data assets, secure storage, and a tested restore process to minimize the impact of potential data loss or system failures on organizational operations.

  6. DM-5: Implement an Access Request and Approval Process

    • Establish formal access request and approval processes for granting user access to systems, resources, and data within the organization's environment, ensuring proper authorization is provided based on job responsibilities and security clearance levels.

  7. IA-2: Maintain System Inventory and Documentation

    • Track and document all hardware, software, firmware, and configuration settings within the organization's system landscape to ensure accurate asset management, facilitating efficient maintenance, upgrades, and incident response efforts.

  8. MP-10: Implement Automated Tools for Software Update Management

    • Utilize automated tools and processes to manage software updates across organizational systems, ensuring timely installation of security patches, bug fixes, and feature enhancements while minimizing potential disruptions or errors in the update process.

  9. PM-4: Protect Against Unauthorized Data Transfer

    • Implement access controls, network segmentation, and monitoring mechanisms to prevent unauthorized data transfer within the organization's system landscape, safeguarding sensitive information from potential exfiltration attempts by malicious actors or insider threats.

  10. RA-5: Perform Regular System Vulnerability Scans

    • Conduct regular vulnerability assessments of organizational systems and applications using automated scanning tools to identify potential weaknesses in security configurations, software versions, or patch levels, enabling proactive remediation efforts to address identified vulnerabilities.

These plain English explanations provide practical guidance for implementing the respective NIST security controls, facilitating a clear understanding of the necessary actions to achieve compliance and enhance organizational cybersecurity posture.

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