Assessment Objective

Determine if:

• RA-03a.
  • RA-03a.01 a risk assessment is conducted to identify threats to and vulnerabilities in the system;
  • RA-03a.02 a risk assessment is conducted to determine the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system; the information it processes, stores, or transmits; and any related information;
  • RA-03a.03 a risk assessment is conducted to determine the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;
• RA-03b. risk assessment results and risk management decisions from the organization and mission or business process perspectives are integrated with system-level risk assessments;
• RA-03c. risk assessment results are documented in [Selection: security and privacy plans; risk assessment report; [Assignment: document] ];
• RA-03d. risk assessment results are reviewed [Assignment: frequency];
• RA-03e. risk assessment results are disseminated to [Assignment: personnel or roles];
• RA-03f. the risk assessment is updated [Assignment: frequency] or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.

Assessment Methods

Examine

• Risk assessment policy
• risk assessment procedures
• security and privacy planning policy and procedures
• procedures addressing organizational assessments of risk
• risk assessment
• risk assessment results
• risk assessment reviews
• risk assessment updates
• system security plan
• privacy plan
• other relevant documents or records

Interview

• Organizational personnel with risk assessment responsibilities
• organizational personnel with security and privacy responsibilities

Test

• Organizational processes for risk assessment
• mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment

Linked Issues

• NIST -

  https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final