03.15 Planning

Statement

• a. Develop, document, and disseminate to organizational personnel or roles the policies and procedures needed to satisfy the security requirements for the protection of CUI.

• b. Review and update policies and procedures {{ insert: param, A.03.15.01.ODP.01 }}.

Guidance

This requirement addresses policies and procedures for the protection of CUI. Policies and procedures contribute to security assurance and should address each family of the CUI security requirements. Policies can be included as part of the organizational security policy or be represented by separate policies that address each family of security requirements. Procedures describe how policies 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 plans or in one or more separate documents.

Assessment objective

policies needed to satisfy the security requirements for the protection of CUI are developed and documented.

Assessment objective

policies needed to satisfy the security requirements for the protection of CUI are disseminated to organizational personnel or roles.

Assessment objective

procedures needed to satisfy the security requirements for the protection of CUI are developed and documented.

Assessment objective

procedures needed to satisfy the security requirements for the protection of CUI are disseminated to organizational personnel or roles.

Assessment objective

policies and procedures are reviewed {{ insert: param, A.03.15.01.ODP.01 }}.

Assessment objective

policies and procedures are updated {{ insert: param, A.03.15.01.ODP.01 }}.

Assessment method

• security policies and procedures associated with the protection of CUI audit findings system security plan other relevant documents or records

Assessment method

• personnel with information security responsibilities

Statement

• a. Develop a system security plan that:

  • 01. Defines the constituent system components;

  • 02. Identifies the information types processed, stored, and transmitted by the system;

  • 03. Describes specific threats to the system that are of concern to the organization;

  • 04. Describes the operational environment for the system and any dependencies on or connections to other systems or system components;

  • 05. Provides an overview of the security requirements for the system;

  • 06. Describes the safeguards in place or planned for meeting the security requirements;

  • 07. Identifies individuals that fulfill system roles and responsibilities; and

  • 08. Includes other relevant information necessary for the protection of CUI.

• b. Review and update the system security plan {{ insert: param, A.03.15.02.ODP.01 }}.

• c. Protect the system security plan from unauthorized disclosure.

Guidance

System security plans provide key characteristics of the system that is processing, storing, and transmitting CUI and how the system and information are protected. System security plans contain sufficient information to enable a design and implementation that are unambiguously compliant with the intent of the plans and the subsequent determinations of risk if the plan is implemented as intended. System security plans can be a collection of documents, including documents that already exist. Effective system security plans reference policies, procedures, and documents (e.g., design specifications) that provide additional detailed information. This reduces the documentation requirements associated with security programs and maintains security information in other established management or operational areas related to enterprise architecture, the system development life cycle, systems engineering, and acquisition.

Assessment objective

a system security plan that defines the constituent system components is developed.

Assessment objective

a system security plan that identifies the information types processed, stored, and transmitted by the system is developed.

Assessment objective

a system security plan that describes specific threats to the system that are of concern to the organization is developed.

Assessment objective

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 objective

a system security plan that provides an overview of the security requirements for the system is developed.

Assessment objective

a system security plan that describes the safeguards in place or planned for meeting the security requirements is developed.

Assessment objective

a system security plan that identifies individuals that fulfill system roles and responsibilities is developed.

Assessment objective

a system security plan that includes other relevant information necessary for the protection of CUI is developed.

Assessment objective

the system security plan is reviewed {{ insert: param, A.03.15.02.ODP.01 }}.

Assessment objective

the system security plan is updated {{ insert: param, A.03.15.02.ODP.01 }}.

Assessment objective

the system security plan is protected from unauthorized disclosure.

Assessment method

• security planning policy and procedures procedures for system security plan development and implementation procedures for system security plan reviews and updates enterprise architecture system security plan records of system security plan reviews and updates risk assessments risk assessment results security architecture and design documentation other relevant documents or records

Assessment method

• personnel with system security planning and plan implementation responsibilities system developers personnel with information security responsibilities

Assessment method

• processes for system security plan development, review, update, and approval

Statement

• a. Establish rules that describe the responsibilities and expected behavior for system usage and protecting CUI.

• b. Provide rules to individuals who require access to the system.

• c. Receive a documented acknowledgement from individuals indicating that they have read, understand, and agree to abide by the rules of behavior before authorizing access to CUI and the system.

• d. Review and update the rules of behavior {{ insert: param, A.03.15.03.ODP.01 }}.

Guidance

Rules of behavior represent a type of access agreement for system users. Organizations consider rules of behavior for the handling of CUI based on individual user roles and responsibilities and differentiate between rules that apply to privileged users and rules that apply to general users.

Assessment objective

rules that describe responsibilities and expected behavior for system usage and protecting CUI are established.

Assessment objective

rules are provided to individuals who require access to the system.

Assessment objective

a documented acknowledgement from individuals indicating that they have read, understand, and agree to abide by the rules of behavior is received before authorizing access to CUI and the system.

Assessment objective

the rules of behavior are updated {{ insert: param, A.03.15.03.ODP.01 }} .

Assessment objective

the rules of behavior are reviewed {{ insert: param, A.03.15.03.ODP.01 }}.

Assessment method

• security planning policy and procedures rules of behavior for system users signed acknowledgements of rules of behavior records for rules of behavior reviews and updates system security plan other relevant documents or records

Assessment method

• personnel with rules of behavior establishment, review, and update responsibilities personnel with literacy training and awareness responsibilities personnel with role-based training responsibilities authorized users of the system who have signed rules of behavior personnel with information security responsibilities

Assessment method

• processes for establishing, reviewing, disseminating, and updating rules of behavior mechanisms for supporting or implementing the establishment, dissemination, review, and update of rules of behavior