Assessment Objectives

In addition to relevant policies, standards and procedures, the assessor shall examine, interview, and/or test to determine if appropriately scoped evidence exists to support the claim that:

• IAO-09_A01 the system boundary is described and documented in the system security plan.
  Assessment rigor: 1
  Origin: 171A_3.12.4[b]
• IAO-09_A02 the system components on which sensitive / regulated data is processed are identified and documented.
  Assessment rigor: 1
  Origin: SCF Created
• IAO-09_A03 the system components on which sensitive / regulated data is stored are identified and documented.
  Assessment rigor: 1
  Origin: SCF Created
• IAO-09_A04 changes to the system or system component location where sensitive / regulated data is processed are documented.
  Assessment rigor: 1
  Origin: SCF Created
• IAO-09_A05 changes to the system or system component location where sensitive / regulated data is stored are documented.
  Assessment rigor: 1
  Origin: SCF Created
• IAO-09_A06 a system security plan that describes specific threats to the system that are of concern to the organization is developed.
  Assessment rigor: 1
  Origin: 171A_R3_A.03.15.02.a.03
• IAO-09_A07 a system security plan that describes the safeguards in place or planned for meeting the security requirements is developed.
  Assessment rigor: 1
  Origin: 171A_R3_A.03.15.02.a.06
• IAO-09_A08 a system security plan that identifies individuals that fulfill system roles and responsibilities is developed.
  Assessment rigor: 1
  Origin: 171A_R3_A.03.15.02.a.07
• IAO-09_A09 a System Security Plan (SSP) is developed that documents the additional information necessary for the protection of sensitive / regulated data.
  Assessment rigor: 1
  Origin: SCF Created
• IAO-09_A10 the system security plan is reviewed per an organization-defined frequency.
  Defined parameters: at least every 12 months, or when there are significant incidents or significant changes to risks
  Assessment rigor: 1
  Origin: SCF Created
• IAO-09_A11 the system security plan is protected from unauthorized disclosure.
  Assessment rigor: 1
  Origin: 171A_R3_A.03.15.02.c
• IAO-09_A12 the security requirements identified and approved by the designated authority as non-applicable are identified.
  Assessment rigor: 2
  Origin: 171A_3.12.4[d]
• IAO-09_A13 the method of security requirement implementation is described and documented in the system security plan.
  Assessment rigor: 2
  Origin: 171A_3.12.4[e]
• IAO-09_A14 the relationship with or connection to other systems is described and documented in the system security plan.
  Assessment rigor: 2
  Origin: 171A_3.12.4[f]
• IAO-09_A15 the system security plan documents or references the security solution selected.
  Assessment rigor: 3
  Origin: 172A_3.11.4e[a]
• IAO-09_A16 the system security plan documents or references the rationale for the security solution.
  Assessment rigor: 3
  Origin: 172A_3.11.4e[b]
• IAO-09_A17 the system security plan documents or references the risk determination.
  Assessment rigor: 3
  Origin: 172A_3.11.4e[c]
• IAO-09_A18 individuals or groups with whom cybersecurity / data privacy-related activities affecting the system that require planning and coordination is/are assigned.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02_ODP[01]
• IAO-09_A19 personnel or roles to receive distributed copies of the system cybersecurity / data privacy plans is/are assigned.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02_ODP[02]
• IAO-09_A20 the frequency at which the system security plan is reviewed and updated is defined.
  Defined parameters: at least every 12 months, or when there are significant incidents or significant changes to risks
  Assessment rigor: 2
  Origin: 53A_R5_PL-02_ODP[03] 171A_3.12.4[g] 171A_R3_A.03.15.02.ODP[01]
• IAO-09_A21 the system security plan is updated per an organization-defined frequency.
  Defined parameters: at least every 12 months, or when there are significant incidents or significant changes to risks
  Assessment rigor: 2
  Origin: 171A_3.12.4[h]
• IAO-09_A22 a security plan for the system is developed that is consistent with the organization's enterprise architecture.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.01[01]
• IAO-09_A23 a privacy plan for the system is developed that is consistent with the organization's enterprise architecture.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.01[02]
• IAO-09_A24 a system security plan that defines the constituent system components is developed.
  Assessment rigor: 2
  Origin: 53A_R5_PL-02a.02[01] 171A_R3_A.03.15.02.a.01
• IAO-09_A25 a privacy plan for the system is developed that explicitly defines the constituent system components.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.02[02]
• IAO-09_A26 a security plan for the system is developed that describes the operational context of the system in terms of mission and business processes.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.03[01]
• IAO-09_A27 a privacy plan for the system is developed that describes the operational context of the system in terms of mission and business processes.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.03[02]
• IAO-09_A28 a security plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.04[01]
• IAO-09_A29 a privacy plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.04[02]
• IAO-09_A30 a system security plan that identifies the information types processed, stored, and transmitted by the system is developed.
  Assessment rigor: 2
  Origin: 53A_R5_PL-02a.05[01] 171A_R3_A.03.15.02.a.02
• IAO-09_A31 a privacy plan for the system is developed that identifies the information types processed, stored and transmitted by the system.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.05[02]
• IAO-09_A32 a security plan for the system is developed that provides the security categorization of the system, including supporting rationale.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.06[01]
• IAO-09_A33 a privacy plan for the system is developed that provides the security categorization of the system, including supporting rationale.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.06[02]
• IAO-09_A34 a security plan for the system is developed that describes any specific threats to the system that are of concern to the organization.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.07[01]
• IAO-09_A35 a privacy plan for the system is developed that describes any specific threats to the system that are of concern to the organization.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.07[02]
• IAO-09_A36 a security plan for the system is developed that provides the results of a privacy risk assessment for systems processing Personal Data (PD).
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.08[01]
• IAO-09_A37 a privacy plan for the system is developed that provides the results of a privacy risk assessment for systems processing Personal Data (PD).
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.08[02]
• IAO-09_A38 a system security plan that describes the operational environment for the system and any dependencies on or connections to other systems or system components is developed.
  Assessment rigor: 2
  Origin: 53A_R5_PL-02a.09[01] 53A_R5_PL-02a.09[02] 171A_3.12.4[c] 171A_R3_A.03.15.02.a.04
• IAO-09_A39 a system security plan that provides an overview of the security requirements for the system is developed.
  Assessment rigor: 2
  Origin: 53A_R5_PL-02a.10[01] 171A_3.12.4[a] 171A_R3_A.03.15.02.a.05
• IAO-09_A40 a privacy plan for the system is developed that provides an overview of the privacy requirements for the system.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.10[02]
• IAO-09_A41 a security plan for the system is developed that identifies any relevant control baselines or overlays, if applicable.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.11[01]
• IAO-09_A42 a privacy plan for the system is developed that identifies any relevant control baselines or overlays, if applicable.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.11[02]
• IAO-09_A43 a security plan for the system is developed that describes the controls in place or planned for meeting the security requirements, including rationale for any tailoring decisions.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.12[01]
• IAO-09_A44 a privacy plan for the system is developed that describes the controls in place or planned for meeting the privacy requirements, including rationale for any tailoring decisions.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.12[02]
• IAO-09_A45 a security plan for the system is developed that includes risk determinations for security architecture and design decisions.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.13[01]
• IAO-09_A46 a privacy plan for the system is developed that includes risk determinations for privacy architecture and design decisions.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.13[02]
• IAO-09_A47 a security plan for the system is developed that includes security-related activities affecting the system that require planning and coordination with individuals or groups.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.14[01]
• IAO-09_A48 a privacy plan for the system is developed that includes privacy-related activities affecting the system that require planning and coordination with individuals or groups.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.14[02]
• IAO-09_A49 a security plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.15[01]
• IAO-09_A50 a privacy plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02a.15[02]
• IAO-09_A51 copies of the plans are distributed to personnel or roles.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02b.[01]
• IAO-09_A52 subsequent changes to the plans are communicated to personnel or roles.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02b.[02]
• IAO-09_A53 plans are reviewed frequently.
  Defined parameters: at least annually
  Assessment rigor: 3
  Origin: 53A_R5_PL-02c.
• IAO-09_A54 plans are updated to address changes to the system and environment of operations.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02d.[01]
• IAO-09_A55 plans are updated to address problems identified during the plan implementation.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02d.[02]
• IAO-09_A56 plans are updated to address problems identified during control assessments.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02d.[03]
• IAO-09_A57 plans are protected from unauthorized disclosure.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02e.[01]
• IAO-09_A58 plans are protected from unauthorized modification.
  Assessment rigor: 3
  Origin: 53A_R5_PL-02e.[02]
• IAO-09_A59 the system components on which CUI is stored are identified and documented.
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.04.11.a[02]
• IAO-09_A60 the system components on which CUI is stored are identified and documented.
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.04.11.a[03]
• IAO-09_A61 changes to the system or system component location where CUI is processed are documented.
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.04.11.b[01]
• IAO-09_A62 changes to the system or system component location where CUI is stored are documented.
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.04.11.b[02]
• IAO-09_A63 a system security plan that includes other relevant information necessary for the protection of CUI is developed.
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.15.02.a.08
• IAO-09_A64 the system security plan is reviewed <A.03.15.02.ODP[01]: frequency>.
  Defined parameters: at least every 12 months, or when there are significant incidents or significant changes to risks
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.15.02.b[01]
• IAO-09_A65 the system security plan is updated <A.03.15.02.ODP[01]: frequency>.
  Defined parameters: at least every 12 months, or when there are significant incidents or significant changes to risks
  Assessment rigor: NIST 800-171
  Origin: 171A_R3_A.03.15.02.b[02]

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  "The SCF is the Common Controls Framework™ (CCF), the world's most comprehensive cybersecurity and data privacy metaframework - it is also free to use. The entire concept is building secure, compliant and resilient capabilities in the most efficient and cost-effective manner possible.
  
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  Like it or not, cybersecurity is a protracted war on an asymmetric battlefield, where the threats are everywhere and as defenders we have to make the effort to work together to help improve cybersecurity and data privacy practices, since we all suffer when massive data breaches occur or when cyber attacks have physical impacts. Hackers share information on attack methods with other hackers, so why shouldn’t the good guys share information on how to best protect an organization? We decided to take action and make a difference, since we feel it is too important to wait for someone else to fix the problems that exist.
  
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