+SA [H] System and Services Acquisition
---+SA-01 [H] Policy and Procedures
---+SA-02 [H] Allocation of Resources
---+SA-03 [H] System Development Life Cycle
---+SA-04 [H] Acquisition Process
------+SA-04(01) [H] Functional Properties of Controls
------+SA-04(02) [H] Design and Implementation Information for Controls
------+SA-04(05) [H] System, Component, and Service Configurations
------+SA-04(09) [H] Functions, Ports, Protocols, and Services in Use
------+SA-04(10) [H] Use of Approved PIV Products
---+SA-05 [H] System Documentation
---+SA-08 [H] Security and Privacy Engineering Principles
---+SA-09 [H] External System Services
------+SA-09(02) [H] Identification of Functions, Ports, Protocols, and Services
---+SA-10 [H] Developer Configuration Management
---+SA-11 [H] Developer Testing and Evaluation
---+SA-15 [H] Development Process, Standards, and Tools
------+SA-15(03) [H] Criticality Analysis
---+SA-16 [H] Developer-provided Training
---+SA-17 [H] Developer Security and Privacy Architecture and Design
---+SA-21 [H] Developer Screening
---+SA-22 [H] Unsupported System Components

SA [H] System and Services Acquisition

System and Services Acquisition

1. Oversigt

SA-01 [H] 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] system and services acquisition 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 system and services acquisition policy and the associated system and services acquisition controls;
  2. Designate an [Assignement: official] to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and
  3. Review and update the current system and services acquisition:
    1. Policy [Assignement: frequency] and following [Assignement: events] ; and
    2. Procedures [Assignement: frequency] and following [Assignement: events].

Discussion

System and services acquisition policy and procedures address the controls in the SA 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 system and services acquisition 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 or 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 system and services acquisition policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

Assessment Objective

    1. a system and services acquisition policy is developed and documented;
    2. the system and services acquisition policy is disseminated to [Assignement: personnel or roles];
    3. system and services acquisition procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls are developed and documented;
    4. the system and services acquisition procedures are disseminated to [Assignement: personnel or roles];
        1. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] system and services acquisition policy addresses purpose;
        2. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] system and services acquisition policy addresses scope;
        3. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] system and services acquisition policy addresses roles;
        4. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] system and services acquisition policy addresses responsibilities;
        5. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] system and services acquisition policy addresses management commitment;
        6. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] system and services acquisition policy addresses coordination among organizational entities;
        7. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] system and services acquisition policy addresses compliance;
      2. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] system and services acquisition 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 system and services acquisition policy and procedures;
      1. the system and services acquisition policy is reviewed and updated [Assignement: frequency];
      2. the current system and services acquisition policy is reviewed and updated following [Assignement: events];
      1. the current system and services acquisition procedures are reviewed and updated [Assignement: frequency];
      2. the current system and services acquisition procedures are reviewed and updated following [Assignement: events].

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures supply chain risk management policy supply chain risk management procedures supply chain risk management plan system security plan privacy plan other relevant documents or records

Interview

Organizational personnel with system and services acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities
SA-02 [H] Allocation of Resources

Control

  1. Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;
  2. Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and
  3. Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation.

Discussion

Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain-related risks throughout the system development life cycle.

Assessment Objective

    1. the high-level information security requirements for the system or system service are determined in mission and business process planning;
    2. the high-level privacy requirements for the system or system service are determined in mission and business process planning;
    1. the resources required to protect the system or system service are determined and documented as part of the organizational capital planning and investment control process;
    2. the resources required to protect the system or system service are allocated as part of the organizational capital planning and investment control process;
    1. a discrete line item for information security is established in organizational programming and budgeting documentation;
    2. a discrete line item for privacy is established in organizational programming and budgeting documentation.

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures system and services acquisition strategy and plans procedures addressing the allocation of resources to information security and privacy requirements procedures addressing capital planning and investment control organizational programming and budgeting documentation system security plan privacy plan supply chain risk management policy other relevant documents or records

Interview

Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities
SA-03 [H] System Development Life Cycle

Control

  1. Acquire, develop, and manage the system using [Assignement: system-development life cycle] that incorporates information security and privacy considerations;
  2. Define and document information security and privacy roles and responsibilities throughout the system development life cycle;
  3. Identify individuals having information security and privacy roles and responsibilities; and
  4. Integrate the organizational information security and privacy risk management process into system development life cycle activities.

Discussion

A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical mission and business functions. The security engineering principles in [SA-8](#sa-8) help individuals properly design, code, and test systems and system components. Organizations include qualified personnel (e.g., senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers) in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals with key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with the risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, service providers), acquisition and supply chain risk management functions and controls play significant roles in the effective management of the system during the life cycle.

Assessment Objective

    1. the system is acquired, developed, and managed using [Assignement: system-development life cycle] that incorporates information security considerations;
    2. the system is acquired, developed, and managed using [Assignement: system-development life cycle] that incorporates privacy considerations;
    1. information security roles and responsibilities are defined and documented throughout the system development life cycle;
    2. privacy roles and responsibilities are defined and documented throughout the system development life cycle;
    1. individuals with information security roles and responsibilities are identified;
    2. individuals with privacy roles and responsibilities are identified;
    1. organizational information security risk management processes are integrated into system development life cycle activities;
    2. organizational privacy risk management processes are integrated into system development life cycle activities.

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process system development life cycle documentation organizational risk management strategy information security and privacy risk management strategy documentation system security plan privacy plan privacy program plan enterprise architecture documentation role-based security and privacy training program documentation data mapping documentation other relevant documents or records

Interview

Organizational personnel with information security and privacy responsibilities organizational personnel with system life cycle development responsibilities organizational personnel with supply chain risk management responsibilities
SA-04 [H] Acquisition Process

Control

Include the following requirements, descriptions, and criteria, explicitly or by reference, using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service:
  1. Security and privacy functional requirements;
  2. Strength of mechanism requirements;
  3. Security and privacy assurance requirements;
  4. Controls needed to satisfy the security and privacy requirements.
  5. Security and privacy documentation requirements;
  6. Requirements for protecting security and privacy documentation;
  7. Description of the system development environment and environment in which the system is intended to operate;
  8. Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and
  9. Acceptance criteria.

Discussion

Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in [SA-2](#sa-2) . The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, and methodologies as well as the evidence from development and assessment activities that provide grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) describes the process of requirements engineering as part of the system development life cycle. Controls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and for reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical, administrative, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle. Security and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings that specify allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as the criteria for any organizational acquisition or procurement. Organizations can determine other requirements that support security and operations, to include responsibilities for the organization and developer, and notification and timing requirements for support, maintenance and updates.

Assessment Objective

    1. security functional requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    2. privacy functional requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
  2. strength of mechanism requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    1. security assurance requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    2. privacy assurance requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    1. controls needed to satisfy the security requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    2. controls needed to satisfy the privacy requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    1. security documentation requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    2. privacy documentation requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    1. requirements for protecting security documentation, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    2. requirements for protecting privacy documentation, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
  7. the description of the system development environment and environment in which the system is intended to operate, requirements, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    1. the allocation of responsibility or identification of parties responsible for information security requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service;
    2. the allocation of responsibility or identification of parties responsible for privacy requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ];
    3. the allocation of responsibility or identification of parties responsible for supply chain risk management requirements, descriptions, and criteria are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ];
  9. acceptance criteria requirements and descriptions are included explicitly or by reference using [Selection(one-or-more): standardized contract language; {{ insert: param, sa-04_odp.02 }} ] in the acquisition contract for the system, system component, or system service.

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process configuration management plan acquisition contracts for the system, system component, or system service system design documentation system security plan supply chain risk management plan privacy plan other relevant documents or records

Interview

Organizational personnel with acquisition/contracting responsibilities organizational personnel with information security and privacy responsibilities system/network administrators organizational personnel with supply chain risk management responsibilities
SA-05 [H] System Documentation

Control

  1. Obtain or develop administrator documentation for the system, system component, or system service that describes:
    1. Secure configuration, installation, and operation of the system, component, or service;
    2. Effective use and maintenance of security and privacy functions and mechanisms; and
    3. Known vulnerabilities regarding configuration and use of administrative or privileged functions;
  2. Obtain or develop user documentation for the system, system component, or system service that describes:
    1. User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;
    2. Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and
    3. User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;
  3. Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and take [Assignement: actions] in response; and
  4. Distribute documentation to [Assignement: personnel or roles].

Discussion

System artifacts and documentation created by the developer helps organizational personnel understand the implementation and operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used to delineate roles, responsibilities and expectations of the developer and organization, support the management of supply chain risk, incident response, flaw remediation, and other functions. Personnel or roles that require documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or the lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation. An example of least privilege in software development is minimizing the functions that operate with elevated privileges (e.g., limiting the tools and functionality that operate in kernel mode)

Assessment Objective

      1. administrator documentation for the system, system component, or system service that describes the secure configuration of the system, component, or service is obtained or developed;
      2. administrator documentation for the system, system component, or system service that describes the secure installation of the system, component, or service is obtained or developed;
      3. administrator documentation for the system, system component, or system service that describes the secure operation of the system, component, or service is obtained or developed;
      1. administrator documentation for the system, system component, or system service that describes the effective use of security functions and mechanisms is obtained or developed;
      2. administrator documentation for the system, system component, or system service that describes the effective maintenance of security functions and mechanisms is obtained or developed;
      3. administrator documentation for the system, system component, or system service that describes the effective use of privacy functions and mechanisms is obtained or developed;
      4. administrator documentation for the system, system component, or system service that describes the effective maintenance of privacy functions and mechanisms is obtained or developed;
      1. administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the configuration of administrative or privileged functions is obtained or developed;
      2. administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the use of administrative or privileged functions is obtained or developed;
      1. user documentation for the system, system component, or system service that describes user-accessible security functions and mechanisms is obtained or developed;
      2. user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible security) functions and mechanisms is obtained or developed;
      3. user documentation for the system, system component, or system service that describes user-accessible privacy functions and mechanisms is obtained or developed;
      4. user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible privacy) functions and mechanisms is obtained or developed;
      1. user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service in a more secure manner is obtained or developed;
      2. user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service to protect individual privacy is obtained or developed;
      1. user documentation for the system, system component, or system service that describes user responsibilities for maintaining the security of the system, component, or service is obtained or developed;
      2. user documentation for the system, system component, or system service that describes user responsibilities for maintaining the privacy of individuals is obtained or developed;
    1. attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent is documented;
    2. after attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent, [Assignement: actions] are taken in response;
  4. documentation is distributed to [Assignement: personnel or roles].

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures procedures addressing system documentation system documentation, including administrator and user guides system design documentation records documenting attempts to obtain unavailable or nonexistent system documentation list of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation risk management strategy documentation system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records

Interview

Organizational personnel with acquisition/contracting responsibilities organizational personnel with information security and privacy responsibilities system administrators organizational personnel responsible for operating, using, and/or maintaining the system system developers
SA-08 [H] Security and Privacy Engineering Principles

Control

Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: [Assignement: organization-defined systems security and privacy engineering principles].

Discussion

Systems security and privacy engineering principles are closely related to and implemented throughout the system development life cycle (see [SA-3](#sa-3) ). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. The application of systems security and privacy engineering principles helps organizations develop trustworthy, secure, and resilient systems and reduces the susceptibility to disruptions, hazards, threats, and the creation of privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; and performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks, including incorporating tamper-resistant hardware into a design.

Assessment Objective

  1. [Assignement: systems security engineering principles] are applied in the specification of the system and system components;
  2. [Assignement: systems security engineering principles] are applied in the design of the system and system components;
  3. [Assignement: systems security engineering principles] are applied in the development of the system and system components;
  4. [Assignement: systems security engineering principles] are applied in the implementation of the system and system components;
  5. [Assignement: systems security engineering principles] are applied in the modification of the system and system components;
  6. [Assignement: privacy engineering principles] are applied in the specification of the system and system components;
  7. [Assignement: privacy engineering principles] are applied in the design of the system and system components;
  8. [Assignement: privacy engineering principles] are applied in the development of the system and system components;
  9. [Assignement: privacy engineering principles] are applied in the implementation of the system and system components;
  10. [Assignement: privacy engineering principles] are applied in the modification of the system and system components.

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures assessment and authorization procedures procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system system design documentation security and privacy requirements and specifications for the system system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records

Interview

Organizational personnel with acquisition/contracting responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with system specification, design, development, implementation, and modification responsibilities system developers
SA-09 [H] External System Services

Control

  1. Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: [Assignement: controls];
  2. Define and document organizational oversight and user roles and responsibilities with regard to external system services; and
  3. Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: [Assignement: processes, methods, and techniques].

Discussion

External system services are provided by an external provider, and the organization has no direct control over the implementation of the required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust vary based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so that the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define the expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.

Assessment Objective

    1. providers of external system services comply with organizational security requirements;
    2. providers of external system services comply with organizational privacy requirements;
    3. providers of external system services employ [Assignement: controls];
    1. organizational oversight with regard to external system services are defined and documented;
    2. user roles and responsibilities with regard to external system services are defined and documented;
  3. [Assignement: processes, methods, and techniques] are employed to monitor control compliance by external service providers on an ongoing basis.

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures procedures addressing methods and techniques for monitoring control compliance by external service providers of system services acquisition documentation contracts service level agreements interagency agreements licensing agreements list of organizational security and privacy requirements for external provider services control assessment results or reports from external providers of system services system security plan privacy plan supply chain risk management plan other relevant documents or records

Interview

Organizational personnel with acquisition responsibilities external providers of system services organizational personnel with information security and privacy responsibilities organizational personnel with supply chain risk management responsibilities
SA-10 [H] Developer Configuration Management

Control

Require the developer of the system, system component, or system service to:
  1. Perform configuration management during system, component, or service [Selection(one-or-more): design; development; implementation; operation; disposal];
  2. Document, manage, and control the integrity of changes to [Assignement: configuration items];
  3. Implement only organization-approved changes to the system, component, or service;
  4. Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and
  5. Track security flaws and flaw resolution within the system, component, or service and report findings to [Assignement: personnel].

Discussion

Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware from unauthorized modification or destruction. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. The configuration items that are placed under configuration management include the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle.

Assessment Objective

  1. the developer of the system, system component, or system service is required to perform configuration management during system, component, or service [Selection(one-or-more): design; development; implementation; operation; disposal];
    1. the developer of the system, system component, or system service is required to document the integrity of changes to [Assignement: configuration items];
    2. the developer of the system, system component, or system service is required to manage the integrity of changes to [Assignement: configuration items];
    3. the developer of the system, system component, or system service is required to control the integrity of changes to [Assignement: configuration items];
  3. the developer of the system, system component, or system service is required to implement only organization-approved changes to the system, component, or service;
    1. the developer of the system, system component, or system service is required to document approved changes to the system, component, or service;
    2. the developer of the system, system component, or system service is required to document the potential security impacts of approved changes;
    3. the developer of the system, system component, or system service is required to document the potential privacy impacts of approved changes;
    1. the developer of the system, system component, or system service is required to track security flaws within the system, component, or service;
    2. the developer of the system, system component, or system service is required to track security flaw resolutions within the system, component, or service;
    3. the developer of the system, system component, or system service is required to report findings to [Assignement: personnel].

Assessment Method

Examine

System and services acquisition policy procedures addressing system developer configuration management solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system developer configuration management plan security flaw and flaw resolution tracking records system change authorization records change control records configuration management records system security plan other relevant documents or records

Interview

Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with configuration management responsibilities system developers
SA-11 [H] Developer Testing and Evaluation

Control

Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:
  1. Develop and implement a plan for ongoing security and privacy control assessments;
  2. Perform [Selection(one-or-more): unit; integration; system; regression] testing/evaluation [Assignement: frequency to conduct] at [Assignement: depth and coverage];
  3. Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;
  4. Implement a verifiable flaw remediation process; and
  5. Correct flaws identified during testing and evaluation.

Discussion

Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes—including upgrading or replacing applications, operating systems, and firmware—may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review, security architecture review, and penetration testing, as well as and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches. Developers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components; the degree of rigor to be applied; the frequency of the ongoing testing and evaluation; and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation.

Assessment Objective

    1. the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for ongoing security assessments;
    2. the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing security assessments;
    3. the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for privacy assessments;
    4. the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing privacy assessments;
  2. the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to perform [Selection(one-or-more): unit; integration; system; regression] testing/evaluation [Assignement: frequency to conduct] at [Assignement: depth and coverage];
    1. the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce evidence of the execution of the assessment plan;
    2. the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce the results of the testing and evaluation;
  4. the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a verifiable flaw remediation process;
  5. the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to correct flaws identified during testing and evaluation.

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures procedures addressing system developer security and privacy testing procedures addressing flaw remediation solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service security and privacy architecture system design documentation system developer security and privacy assessment plans results of developer security and privacy assessments for the system, system component, or system service security and privacy flaw and remediation tracking records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records

Interview

Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities organizational personnel with developer security and privacy testing responsibilities system developers
SA-15 [H] Development Process, Standards, and Tools

Control

  1. Require the developer of the system, system component, or system service to follow a documented development process that:
    1. Explicitly addresses security and privacy requirements;
    2. Identifies the standards and tools used in the development process;
    3. Documents the specific tool options and tool configurations used in the development process; and
    4. Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and
  2. Review the development process, standards, tools, tool options, and tool configurations [Assignement: frequency] to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: [Assignement: organization-defined security and privacy requirements].

Discussion

Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes.

Assessment Objective

      1. the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses security requirements;
      2. the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses privacy requirements;
      1. the developer of the system, system component, or system service is required to follow a documented development process that identifies the standards used in the development process;
      2. the developer of the system, system component, or system service is required to follow a documented development process that identifies the tools used in the development process;
      1. the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool used in the development process;
      2. the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool configurations used in the development process;
    4. the developer of the system, system component, or system service is required to follow a documented development process that documents, manages, and ensures the integrity of changes to the process and/or tools used in development;
    1. the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed [Assignement: frequency] to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy [Assignement: security requirements];
    2. the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed [Assignement: frequency] to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy [Assignement: privacy requirements].

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures procedures addressing development process, standards, and tools procedures addressing the integration of security and privacy requirements during the development process solicitation documentation acquisition documentation critical component inventory documentation service level agreements acquisition contracts for the system, system component, or system service system developer documentation listing tool options/configuration guides configuration management policy configuration management records documentation of development process reviews using maturity models change control records configuration control records documented reviews of the development process, standards, tools, and tool options/configurations system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records

Interview

Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer
SA-16 [H] Developer-provided Training

Control

Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: [Assignement: training].

Discussion

Developer-provided training applies to external and internal (in-house) developers. Training personnel is essential to ensuring the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms.

Assessment Objective

the developer of the system, system component, or system service is required to provide [Assignement: training] on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms.

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures procedures addressing developer-provided training solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service organizational security and privacy training policy developer-provided training materials training records system security plan privacy plan privacy impact assessment privacy risk assessment documentation other relevant documents or records

Interview

Organizational personnel with system and service acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer external or internal (in-house) developers with training responsibilities for the system, system component, or information system service
SA-17 [H] Developer Security and Privacy Architecture and Design

Control

Require the developer of the system, system component, or system service to produce a design specification and security and privacy architecture that:
  1. Is consistent with the organization’s security and privacy architecture that is an integral part the organization’s enterprise architecture;
  2. Accurately and completely describes the required security and privacy functionality, and the allocation of controls among physical and logical components; and
  3. Expresses how individual security and privacy functions, mechanisms, and services work together to provide required security and privacy capabilities and a unified approach to protection.

Discussion

Developer security and privacy architecture and design are directed at external developers, although they could also be applied to internal (in-house) development. In contrast, [PL-8](#pl-8) is directed at internal developers to ensure that organizations develop a security and privacy architecture that is integrated with the enterprise architecture. The distinction between SA-17 and [PL-8](#pl-8) is especially important when organizations outsource the development of systems, system components, or system services and when there is a requirement to demonstrate consistency with the enterprise architecture and security and privacy architecture of the organization. [ISO 15408-2](#87087451-2af5-43d4-88c1-d66ad850f614), [ISO 15408-3](#4452efc0-e79e-47b8-aa30-b54f3ef61c2f) , and [SP 800-160-1](#e3cc0520-a366-4fc9-abc2-5272db7e3564) provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing.

Assessment Objective

    1. the developer of the system, system component, or system service is required to produce a design specification and security architecture that are consistent with the organization’s security architecture, which is an integral part the organization’s enterprise architecture;
    2. the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that are consistent with the organization’s privacy architecture, which is an integral part the organization’s enterprise architecture;
    1. the developer of the system, system component, or system service is required to produce a design specification and security architecture that accurately and completely describe the required security functionality and the allocation of controls among physical and logical components;
    2. the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that accurately and completely describe the required privacy functionality and the allocation of controls among physical and logical components;
    1. the developer of the system, system component, or system service is required to produce a design specification and security architecture that express how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection;
    2. the developer of the system, system component, or system service is required to produce a design specification and privacy architecture that express how individual privacy functions, mechanisms, and services work together to provide required privacy capabilities and a unified approach to protection.

Assessment Method

Examine

System and services acquisition policy system and services acquisition procedures enterprise architecture policy enterprise architecture documentation procedures addressing developer security and privacy architecture and design specifications for the system solicitation documentation acquisition documentation service level agreements acquisition contracts for the system, system component, or system service system design documentation information system configuration settings and associated documentation system security plan privacy plan other relevant documents or records

Interview

Organizational personnel with acquisition responsibilities organizational personnel with information security and privacy responsibilities system developer
SA-21 [H] Developer Screening

Control

Require that the developer of [Assignement: system, systems component, or system service]:
  1. Has appropriate access authorizations as determined by assigned [Assignement: official government duties] ; and
  2. Satisfies the following additional personnel screening criteria: [Assignement: additional personnel screening criteria].

Discussion

Developer screening is directed at external developers. Internal developer screening is addressed by [PS-3](#ps-3) . Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals who access the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships that the company has with entities that may potentially affect the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements.

Assessment Objective

  1. the developer of [Assignement: system, systems component, or system service] is required to have appropriate access authorizations as determined by assigned [Assignement: official government duties];
  2. the developer of [Assignement: system, systems component, or system service] is required to satisfy [Assignement: additional personnel screening criteria].

Assessment Method

Examine

System and services acquisition policy personnel security policy and procedures procedures addressing personnel screening system design documentation acquisition documentation service level agreements acquisition contracts for developer services system configuration settings and associated documentation list of appropriate access authorizations required by the developers of the system personnel screening criteria and associated documentation system security plan supply chain risk management plan other relevant documents or records

Interview

Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel responsible for developer screening
SA-22 [H] Unsupported System Components

Control

  1. Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or
  2. Provide the following options for alternative sources for continued support for unsupported components [Selection(one-or-more): in-house support; {{ insert: param, sa-22_odp.02 }} ].

Discussion

Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. An example of unsupported components includes when vendors no longer provide critical software patches or product updates, which can result in an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capabilities where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option. Alternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business functions. If necessary, organizations can establish in-house support by developing customized patches for critical software components or, alternatively, obtain the services of external providers who provide ongoing support for the designated unsupported components through contractual relationships. Such contractual relationships can include open-source software value-added vendors. The increased risk of using unsupported system components can be mitigated, for example, by prohibiting the connection of such components to public or uncontrolled networks, or implementing other forms of isolation.

Assessment Objective

  1. system components are replaced when support for the components is no longer available from the developer, vendor, or manufacturer;
  2. [Selection(one-or-more): in-house support; {{ insert: param, sa-22_odp.02 }} ] provide options for alternative sources for continued support for unsupported components.

Assessment Method

Examine

System and services acquisition policy procedures addressing the replacement or continued use of unsupported system components documented evidence of replacing unsupported system components documented approvals (including justification) for the continued use of unsupported system components system security plan supply chain risk management plan other relevant documents or records

Interview

Organizational personnel with system and service acquisition responsibilities organizational personnel with information security responsibilities organizational personnel with the responsibility for the system development life cycle organizational personnel responsible for component replacement

1.1 Referencer

1.2 Identificerede krav

1.3 Relaterede reguleringer

2. Identificerede krav

Krav

3. Relaterede reguleringer

Reguleringer