+CM [L] Configuration Management
---+CM-01 [L] Policy and Procedures
---+CM-02 [L] Baseline Configuration
---+CM-04 [L] Impact Analyses
---+CM-05 [L] Access Restrictions for Change
---+CM-06 [L] Configuration Settings
---+CM-07 [L] Least Functionality
---+CM-08 [L] System Component Inventory
---+CM-10 [L] Software Usage Restrictions
---+CM-11 [L] User-installed Software

CM [L] Configuration Management

Configuration Management

1. Přehled

CM-01 [L] Policy and Procedures

Control

  1. Develop, document, and disseminate to [Assignement: organization-defined personnel or roles]:
    1. [Selection(one-or-more): organization-level; mission/business process-level; system-level] configuration management policy that:
      1. Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      2. Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
    2. Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;
  2. Designate an [Assignement: official] to manage the development, documentation, and dissemination of the configuration management policy and procedures; and
  3. Review and update the current configuration management:
    1. Policy [Assignement: frequency] and following [Assignement: events] ; and
    2. Procedures [Assignement: frequency] and following [Assignement: events].

Discussion

Configuration management policy and procedures address the controls in the CM family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of configuration management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to configuration management policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

Assessment Objective

    1. a configuration management policy is developed and documented;
    2. the configuration management policy is disseminated to [Assignement: personnel or roles];
    3. configuration management procedures to facilitate the implementation of the configuration management policy and associated configuration management controls are developed and documented;
    4. the configuration management procedures are disseminated to [Assignement: personnel or roles];
        1. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the configuration management policy addresses purpose;
        2. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the configuration management policy addresses scope;
        3. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the configuration management policy addresses roles;
        4. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the configuration management policy addresses responsibilities;
        5. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the configuration management policy addresses management commitment;
        6. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the configuration management policy addresses coordination among organizational entities;
        7. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the configuration management policy addresses compliance;
      2. the configuration management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;
  2. the [Assignement: official] is designated to manage the development, documentation, and dissemination of the configuration management policy and procedures;
      1. the current configuration management policy is reviewed and updated [Assignement: frequency];
      2. the current configuration management policy is reviewed and updated following [Assignement: events];
      1. the current configuration management procedures are reviewed and updated [Assignement: frequency];
      2. the current configuration management procedures are reviewed and updated following [Assignement: events].

Assessment Method

Examine

Configuration management policy and procedures security and privacy program policies and procedures assessment or audit findings documentation of security incidents or breaches system security plan privacy plan risk management strategy other relevant artifacts, documents, or records

Interview

Organizational personnel with configuration management responsibilities organizational personnel with information security and privacy responsibilities
CM-02 [L] Baseline Configuration

Control

  1. Develop, document, and maintain under configuration control, a current baseline configuration of the system; and
  2. Review and update the baseline configuration of the system:
    1. [Assignement: frequency];
    2. When required due to [Assignement: circumstances] ; and
    3. When system components are installed or upgraded.

Discussion

Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed, and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture.

Assessment Objective

    1. a current baseline configuration of the system is developed and documented;
    2. a current baseline configuration of the system is maintained under configuration control;
    1. the baseline configuration of the system is reviewed and updated [Assignement: frequency];
    2. the baseline configuration of the system is reviewed and updated when required due to [Assignement: circumstances];
    3. the baseline configuration of the system is reviewed and updated when system components are installed or upgraded.

Assessment Method

Examine

Configuration management policy procedures addressing the baseline configuration of the system configuration management plan enterprise architecture documentation system design documentation system security plan privacy plan system architecture and configuration documentation system configuration settings and associated documentation system component inventory change control records other relevant documents or records

Interview

Organizational personnel with configuration management responsibilities organizational personnel with information security and privacy responsibilities system/network administrators
CM-04 [L] Impact Analyses

Control

Analyze changes to the system to determine potential security and privacy impacts prior to change implementation.

Discussion

Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems as well as the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing the impact of changes on organizational supply chain partners with stakeholders; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and determine if additional controls are required.

Assessment Objective

  1. changes to the system are analyzed to determine potential security impacts prior to change implementation;
  2. changes to the system are analyzed to determine potential privacy impacts prior to change implementation.

Assessment Method

Examine

Configuration management policy procedures addressing security impact analyses for changes to the system procedures addressing privacy impact analyses for changes to the system configuration management plan security impact analysis documentation privacy impact analysis documentation privacy impact assessment privacy risk assessment documentation, system design documentation analysis tools and associated outputs change control records system audit records system security plan privacy plan other relevant documents or records

Interview

Organizational personnel with responsibility for conducting security impact analyses organizational personnel with responsibility for conducting privacy impact analyses organizational personnel with information security and privacy responsibilities system developer system/network administrators members of change control board or similar
CM-05 [L] Access Restrictions for Change

Control

Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system.

Discussion

Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system can potentially have significant effects on the security of the systems or individuals’ privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see [AC-3](#ac-3) and [PE-3](#pe-3) ), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times).

Assessment Objective

  1. physical access restrictions associated with changes to the system are defined and documented;
  2. physical access restrictions associated with changes to the system are approved;
  3. physical access restrictions associated with changes to the system are enforced;
  4. logical access restrictions associated with changes to the system are defined and documented;
  5. logical access restrictions associated with changes to the system are approved;
  6. logical access restrictions associated with changes to the system are enforced.

Assessment Method

Examine

Configuration management policy procedures addressing access restrictions for changes to the system configuration management plan system design documentation system architecture and configuration documentation system configuration settings and associated documentation logical access approvals physical access approvals access credentials change control records system audit records system security plan other relevant documents or records

Interview

Organizational personnel with logical access control responsibilities organizational personnel with physical access control responsibilities organizational personnel with information security responsibilities system/network administrators
CM-06 [L] Configuration Settings

Control

  1. Establish and document configuration settings for components employed within the system that reflect the most restrictive mode consistent with operational requirements using [Assignement: common secure configurations];
  2. Implement the configuration settings;
  3. Identify, document, and approve any deviations from established configuration settings for [Assignement: system components] based on [Assignement: operational requirements] ; and
  4. Monitor and control changes to the configuration settings in accordance with organizational policies and procedures.

Discussion

Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security and privacy posture or functionality of the system. Information technology products for which configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Parameters that impact the security posture of systems include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Privacy parameters are parameters impacting the privacy posture of systems, including the parameters required to satisfy other privacy controls. Privacy parameters include settings for access controls, data processing preferences, and processing and retention permissions. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system. Common secure configurations (also known as security configuration checklists, lockdown and hardening guides, and security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors. Implementation of a common secure configuration may be mandated at the organization level, mission and business process level, system level, or at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline [USGCB](#98498928-3ca3-44b3-8b1e-f48685373087) and security technical implementation guides (STIGs), which affect the implementation of [CM-6](#cm-6) and other controls such as [AC-19](#ac-19) and [CM-7](#cm-7) . The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings.

Assessment Objective

  1. configuration settings that reflect the most restrictive mode consistent with operational requirements are established and documented for components employed within the system using [Assignement: common secure configurations];
  2. the configuration settings documented in CM-06a are implemented;
    1. any deviations from established configuration settings for [Assignement: system components] are identified and documented based on [Assignement: operational requirements];
    2. any deviations from established configuration settings for [Assignement: system components] are approved;
    1. changes to the configuration settings are monitored in accordance with organizational policies and procedures;
    2. changes to the configuration settings are controlled in accordance with organizational policies and procedures.

Assessment Method

Examine

Configuration management policy procedures addressing configuration settings for the system configuration management plan system design documentation system configuration settings and associated documentation common secure configuration checklists system component inventory evidence supporting approved deviations from established configuration settings change control records system data processing and retention permissions system audit records system security plan privacy plan other relevant documents or records

Interview

Organizational personnel with security configuration management responsibilities organizational personnel with privacy configuration management responsibilities organizational personnel with information security and privacy responsibilities system/network administrators
CM-07 [L] Least Functionality

Control

  1. Configure the system to provide only [Assignement: mission-essential capabilities] ; and
  2. Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: [Assignement: organization-defined prohibited or restricted functions, system ports, protocols, software, and/or services].

Discussion

Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see [SA-8](#sa-8), [SC-2](#sc-2) , and [SC-3](#sc-3)).

Assessment Objective

  1. the system is configured to provide only [Assignement: mission-essential capabilities];
    1. the use of [Assignement: functions] is prohibited or restricted;
    2. the use of [Assignement: ports] is prohibited or restricted;
    3. the use of [Assignement: protocols] is prohibited or restricted;
    4. the use of [Assignement: software] is prohibited or restricted;
    5. the use of [Assignement: services] is prohibited or restricted.

Assessment Method

Examine

Configuration management policy procedures addressing least functionality in the system configuration management plan system design documentation system configuration settings and associated documentation system component inventory common secure configuration checklists system security plan other relevant documents or records

Interview

Organizational personnel with security configuration management responsibilities organizational personnel with information security responsibilities system/network administrators system developers
CM-08 [L] System Component Inventory

Control

  1. Develop and document an inventory of system components that:
    1. Accurately reflects the system;
    2. Includes all components within the system;
    3. Does not include duplicate accounting of components or components assigned to any other system;
    4. Is at the level of granularity deemed necessary for tracking and reporting; and
    5. Includes the following information to achieve system component accountability: [Assignement: information] ; and
  2. Review and update the system component inventory [Assignement: frequency].

Discussion

System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes the system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location. Preventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. Effective prevention of duplicate accounting of system components necessitates use of a unique identifier for each component. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of [CM-8(7)](#cm-8.7) can help to eliminate duplicate accounting of components.

Assessment Objective

    1. an inventory of system components that accurately reflects the system is developed and documented;
    2. an inventory of system components that includes all components within the system is developed and documented;
    3. an inventory of system components that does not include duplicate accounting of components or components assigned to any other system is developed and documented;
    4. an inventory of system components that is at the level of granularity deemed necessary for tracking and reporting is developed and documented;
    5. an inventory of system components that includes [Assignement: information] is developed and documented;
  2. the system component inventory is reviewed and updated [Assignement: frequency].

Assessment Method

Examine

Configuration management policy procedures addressing system component inventory configuration management plan system security plan system design documentation system component inventory inventory reviews and update records system security plan other relevant documents or records

Interview

Organizational personnel with component inventory management responsibilities organizational personnel with information security responsibilities system/network administrators
CM-10 [L] Software Usage Restrictions

Control

  1. Use software and associated documentation in accordance with contract agreements and copyright laws;
  2. Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
  3. Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

Discussion

Software license tracking can be accomplished by manual or automated methods, depending on organizational needs. Examples of contract agreements include software license agreements and non-disclosure agreements.

Assessment Objective

  1. software and associated documentation are used in accordance with contract agreements and copyright laws;
  2. the use of software and associated documentation protected by quantity licenses is tracked to control copying and distribution;
  3. the use of peer-to-peer file sharing technology is controlled and documented to ensure that peer-to-peer file sharing is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

Assessment Method

Examine

Configuration management policy software usage restrictions software contract agreements and copyright laws site license documentation list of software usage restrictions software license tracking reports configuration management plan system security plan system security plan other relevant documents or records

Interview

Organizational personnel operating, using, and/or maintaining the system organizational personnel with software license management responsibilities organizational personnel with information security responsibilities system/network administrators
CM-11 [L] User-installed Software

Control

  1. Establish [Assignement: policies] governing the installation of software by users;
  2. Enforce software installation policies through the following methods: [Assignement: methods] ; and
  3. Monitor policy compliance [Assignement: frequency].

Discussion

If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved "app stores." Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods.

Assessment Objective

  1. [Assignement: policies] governing the installation of software by users are established;
  2. software installation policies are enforced through [Assignement: methods];
  3. compliance with [Assignement: policies] is monitored [Assignement: frequency].

Assessment Method

Examine

Configuration management policy procedures addressing user-installed software configuration management plan system security plan system design documentation system configuration settings and associated documentation list of rules governing user installed software system monitoring records system audit records continuous monitoring strategy system security plan other relevant documents or records

Interview

Organizational personnel with responsibilities for governing user-installed software organizational personnel operating, using, and/or maintaining the system organizational personnel monitoring compliance with user-installed software policy organizational personnel with information security responsibilities system/network administrators

1.1 Odkazy

1.2 Identifikované požadavky

1.3 Související regulace

2. Identifikované požadavky

Požadavky

3. Související regulace

Regulace