03.11 Risk Assessment

Statement

• a. Assess the risk (including supply chain risk) of unauthorized disclosure resulting from the processing, storage, or transmission of CUI.

• b. Update risk assessments {{ insert: param, A.03.11.01.ODP.01 }}.

Guidance

Establishing the system boundary is a prerequisite to assessing the risk of the unauthorized disclosure of CUI. Risk assessments consider threats, vulnerabilities, likelihood, and adverse impacts to organizational operations and assets based on the operation and use of the system and the unauthorized disclosure of CUI. Risk assessments also consider risks from external parties (e.g., contractors operating systems on behalf of the organization, service providers, individuals accessing systems, and outsourcing entities). Risk assessments can be conducted at the organization level, the mission or business process level, or the system level and at any phase in the system development life cycle. Risk assessments include supply chain-related risks associated with suppliers or contractors and the system, system component, or system service that they provide.

Assessment objective

the risk (including supply chain risk) of unauthorized disclosure resulting from the processing, storage, or transmission of CUI is assessed.

Assessment objective

risk assessments are updated {{ insert: param, A.03.11.01.ODP.01 }}.

Assessment method

• risk assessment policy and procedures security planning policy and procedures procedures for organizational assessments of risk risk assessment risk assessment results risk assessment reviews risk assessment updates SCRM policy and procedures inventory of critical systems, system components, and system services procedures for organizational assessments of supply chain risk acquisition policy SCRM plan system security plan other relevant documents or records

Assessment method

• personnel with risk assessment responsibilities personnel with SCRM responsibilities personnel with security responsibilities

Assessment method

• processes for organizational risk assessments mechanisms for supporting or conducting, documenting, reviewing, disseminating, and updating risk assessments mechanisms for supporting or conducting, documenting, reviewing, disseminating, and updating supply chain risk assessments

Statement

• a. Monitor and scan the system for vulnerabilities {{ insert: param, A.03.11.02.ODP.01 }} and when new vulnerabilities affecting the system are identified.

• b. Remediate system vulnerabilities within {{ insert: param, A.03.11.02.ODP.03 }}.

• c. Update system vulnerabilities to be scanned {{ insert: param, A.03.11.02.ODP.04 }} and when new vulnerabilities are identified and reported.

Guidance

Organizations determine the required vulnerability scanning for system components and ensure that potential sources of vulnerabilities (e.g., networked printers, scanners, and copiers) are not overlooked. Vulnerability analyses for custom software may require additional approaches, such as static analysis, dynamic analysis, or binary analysis. Organizations can use these approaches in source code reviews and tools (e.g., static analysis tools, web-based application scanners, binary analyzers). Vulnerability scanning includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for improperly configured or incorrectly operating flow control mechanisms. To facilitate interoperability, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention. Sources for vulnerability information also include the Common Weakness Enumeration (CWE) listing, the National Vulnerability Database (NVD), and the Common Vulnerability Scoring System (CVSS).

Assessment objective

the system is monitored for vulnerabilities {{ insert: param, A.03.11.02.ODP.01 }}.

Assessment objective

the system is scanned for vulnerabilities {{ insert: param, A.03.11.02.ODP.02 }}.

Assessment objective

system vulnerabilities are remediated within {{ insert: param, A.03.11.02.ODP.03 }}.

Assessment objective

the system is monitored for vulnerabilities when new vulnerabilities that affect the system are identified.

Assessment objective

the system is scanned for vulnerabilities when new vulnerabilities that affect the system are identified.

Assessment objective

system vulnerabilities to be scanned are updated {{ insert: param, A.03.11.02.ODP.04 }}.

Assessment objective

system vulnerabilities to be scanned are updated when new vulnerabilities are identified and reported.

Assessment method

• risk assessment policy and procedures procedures for vulnerability scanning patch and vulnerability management records vulnerability scanning tools and configuration documentation vulnerability scanning results risk assessment risk assessment report system security plan other relevant documents or records

Assessment method

• personnel with risk assessment and vulnerability scanning responsibilities personnel with vulnerability scan analysis responsibilities personnel with vulnerability remediation responsibilities personnel with information security responsibilities system administrators

Assessment method

• processes for vulnerability monitoring, scanning, analysis, and remediation mechanisms for supporting or implementing vulnerability monitoring, scanning, analysis, and remediation

Statement

Respond to findings from security assessments, monitoring, and audits.

Guidance

This requirement addresses the need to determine an appropriate response to risk before generating a plan of action and milestones (POAM) entry. It may be possible to mitigate the risk immediately so that a POAM entry is not needed. However, a POAM entry is generated if the risk response is to mitigate the identified risk and the mitigation cannot be completed immediately.

Assessment objective

findings from security assessments are responded to.

Assessment objective

findings from security monitoring are responded to.

Assessment objective

findings from security audits are responded to.

Assessment method

• risk assessment policy assessment reports system audit records event logs system security plan other relevant documents or records

Assessment method

• personnel with assessment and auditing responsibilities system administrators personnel with security responsibilities

Assessment method

• processes for assessments and audits mechanisms and tools supporting or implementing assessments and auditing