Initial Public Draft (IPD), Special Publication 800-53 ...

1 Draft NIST Special Publication 800-53 Revision 5 Security and Privacy Controls for Information Systems and Organizations JOINT TASK FORCE Initial Public Draft This Publication contains a comprehensive catalog of technical and nontechnical security and privacy controls. The controls can support a variety of specialty applications including the Risk Management Framework, Cybersecurity Framework, and Systems Engineering Processes used for developing systems, products, components, and services and for protecting organizations, systems, and individuals. Draft NIST Special Publication 800-53 Revision 5 Security and Privacy Controls for Information Systems and Organizations August 2017 Department of Commerce Wilbur L.

2 Ross, Jr., Secretary National Institute of Standards and Technology Kent Rochford, Acting NIST Director and Under Secretary of Commerce for Standards and Technology Draft NIST SP 800-53 , REVISION 5 SECURITY AND PRIVACY CONTROLS FOR INFORMATION SYSTEMS AND ORGANIZATIONS _____ PAGE i Authority This Publication has been developed by NIST to further its statutory responsibilities under the Federal Information Security Modernization Act (FISMA) of 2014, 44 3551 et seq., Public Law ( ) 113-283. NIST is responsible for developing information security standards and guidelines, including minimum requirements for federal information systems, but such standards and guidelines shall not apply to national security systems without the express approval of appropriate federal officials exercising policy authority over such systems.

3 This guideline is consistent with the requirements of the Office of Management and Budget (OMB) Circular A-130. Nothing in this Publication should be taken to contradict the standards and guidelines made mandatory and binding on federal agencies by the Secretary of Commerce under statutory authority. Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of OMB, or any other federal official. This Publication may be used by nongovernmental organizations on a voluntary basis and is not subject to copyright in the United States. Attribution would, however, be appreciated by NIST. National Institute of Standards and Technology Special Publication 800-53 , Revision 5 Natl. inst . Stand. Technol. Spec. Publ. 800-53 , Rev. 5, 494 pages (August 2017) CODEN: NSPUE2 Public comment period: August 15 through September 12, 2017 National Institute of Standards and Technology Attn: Computer Security Division, Information Technology Laboratory 100 Bureau Drive (Mail Stop 8930) Gaithersburg, MD 20899-8930 Email: All comments are subject to release under the Freedom of Information Act (FOIA).

4 Certain commercial entities, equipment, or materials may be identified in this document to describe an experimental procedure or concept adequately. Such identification is not intended to imply recommendation or endorsement by NIST, nor is it intended to imply that the entities, materials, or equipment are necessarily the best available for the purpose. There may be references in this Publication to other publications currently under development by NIST in accordance with its assigned statutory responsibilities. The information in this Publication , including concepts, practices, and methodologies, may be used by federal agencies even before the completion of such companion publications. Thus, until each Publication is completed, current requirements, guidelines, and procedures, where they exist, remain operative. For planning and transition purposes, federal agencies may wish to closely follow the development of these new publications by NIST.

5 Organizations are encouraged to review Draft publications during the designated Public comment periods and provide feedback to NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at Draft NIST SP 800-53 , REVISION 5 SECURITY AND PRIVACY CONTROLS FOR INFORMATION SYSTEMS AND ORGANIZATIONS _____ PAGE ii Reports on Computer Systems Technology The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) promotes the economy and Public welfare by providing technical leadership for the Nation s measurement and standards infrastructure.

6 ITL develops tests, test methods, reference data, proof of concept implementations, and technical analyses to advance the development and productive use of information technology (IT). ITL s responsibilities include the development of management, administrative, technical, and physical standards and guidelines for the cost-effective security of other than national security-related information and protection of individuals privacy in federal information systems. The Special Publication 800-series reports on ITL s research, guidelines, and outreach efforts in information systems security and its collaborative activities with industry, government, and academic organizations. Abstract This Publication provides a catalog of security and privacy controls for federal information systems and organizations to protect organizational operations and assets, individuals, other organizations, and the Nation from a diverse set of threats including hostile attacks, natural disasters, structural failures, human errors, and privacy risks.

7 The controls are flexible and customizable and implemented as part of an organization-wide process to manage risk. The controls address diverse requirements derived from mission and business needs, laws, Executive Orders, directives, regulations, policies, standards, and guidelines. The Publication describes how to develop specialized sets of controls, or overlays, tailored for specific types of missions and business functions, technologies, environments of operation, and sector-specific applications. Finally, the consolidated catalog of controls addresses security and privacy from a functionality perspective ( , the strength of functions and mechanisms) and an assurance perspective ( , the measure of confidence in the security or privacy capability). Addressing both functionality and assurance ensures that information technology products and the information systems that rely on those products are sufficiently trustworthy.

8 Keywords Assurance; availability; computer security; confidentiality; FISMA; information security; integrity; personally identifiable information; Privacy Act; privacy controls; privacy functions; privacy requirements; Risk Management Framework; security controls; security functions; security requirements; system; system security. Draft NIST SP 800-53 , REVISION 5 SECURITY AND PRIVACY CONTROLS FOR INFORMATION SYSTEMS AND ORGANIZATIONS _____ PAGE iii Acknowledgements This Publication was developed by the Joint Task Force Transformation Initiative Interagency Working Group with representatives from the Civil, Defense, and Intelligence Communities in an ongoing effort to produce a unified information security framework for the federal government.

9 The National Institute of Standards and Technology wishes to acknowledge and thank the senior leaders from the Departments of Commerce and Defense, the Office of the Director of National Intelligence, the Committee on National Security Systems, and the members of the interagency technical working group whose dedicated efforts contributed significantly to the Publication . The senior leaders, interagency working group members, and their organizational affiliations include: Department of Defense Office of the Director of National Intelligence John A. Zangardi Raymond Cook Acting DoD Chief Information Officer Assistant DNI and Chief Information Officer Thomas P. Michelli Jennifer Kron Acting Principal Deputy and DoD Chief Information Officer Deputy Chief Information Officer Essye B.

10 Miller Sue Dorr Deputy Chief Information Officer for Cybersecurity Director, Information Assurance Division and DoD Senior Information Security Officer and Chief Information Security Officer John R. Mills Wallace Coggins Director, Cybersecurity Policy, Strategy, and International Director, Security Coordination Center National Institute of Standards and Technology Committee on National Security Systems Charles H. Romine Essye B. Miller Director, Information Technology Laboratory Chair Donna Dodson Cheryl Peace Cybersecurity Advisor, Information Technology Laboratory Co-Chair Matt Scholl Kevin Dulany Chief, Computer Security Division Tri-Chair Defense Community Kevin Stine Peter H. Duspiva Chief, Applied Cybersecurity Division Tri-Chair Intelligence Community Ron Ross Daniel Dister FISMA Implementation Project Leader Tri-Chair Civil Agencies Joint Task Force Transformation Initiative Interagency Working Group Ron Ross Kevin Dulany Dorian Pappas Kelley Dempsey NIST, JTF Leader Department of Defense Intelligence Community NIST Jody Jacobs Victoria Pillitteri Taylor Roberts Naomi Lefkovitz NIST NIST OMB NIST Ellen Nadeau Charles Cutshall Esten Porter Ned Goren NIST OMB The MITRE Corporation NIST David Black Rich Graubart Daniel Faigin Christian Enloe The MITRE Corporation The MITRE Corporation Aerospace Corporation NIST In addition to the above acknowledgments, a Special note of thanks goes to Peggy Himes, Jim Foti.