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Chapter 8Information System Security

Section 1. Responsibilities and Duties

8-100. General.

a. Information systems (IS) that are used to capture,create, store, process or distribute classified informationmust be properly managed to protect againstunauthorized disclosure of classified information, loss ofdata integrity, and to ensure the availability of the dataand system.

b. Protection requires a balanced approachincluding IS security features to include but not limitedto, administrative, operational, physical, computer,communications, and personnel controls. Protectivemeasures commensurate with the classification of theinformation, the threat, and the operational requirementsassociated with the environment of the IS are required.

c. The requirements outlined in the followingsections apply to all information systems processingclassified information. Additional requirements for high-risk systems and data are covered in the NISPOMSupplement

8-101. Responsibilities.

a. The CSA shall establish a line of authority fortraining, oversight, program review, certification, andaccreditation of IS used by contractors for the processingof classified information. The CSA will conduct a riskmanagement evaluation based on the contractor's facility,the classification, and sensitivity of the informationprocessed. The evaluation must ensure that a balanced,cost-effective application of security disciplines andtechnologies is developed and maintained.

b. Contractor management will publish andpromulgate an IS Security Policy addressing the classifiedprocessing environment. Additionally, an IS SecurityManager (ISSM) will be appointed with oversightresponsibility for the development, implementation, andevaluation of the facility's IS security program. Contractormanagement will assure that the ISSM is trained to alevel commensurate with the complexity of the facility’sIS.

8-102. Designated Accrediting/Approving Authority.The CSA is the Designated Accrediting/ApprovingAuthority (DAA) responsible for accrediting informationsystems used to process classified information in industry

8-103. IS Security Manager (ISSM). The ISSM:

a. Ensures the development, documentation, andpresentation of IS security education, awareness, andtraining activities for facility management, IS personnel,users, and others, as appropriate.

b. Establishes, documents, implements, andmonitors the IS Security Program and related proceduresfor the facility and ensures facility compliance withrequirements for IS.

c. Identifies and documents unique localthreats/vulnerabilities to IS.

d. Coordinates the facility IS Security Program withother facility security programs.

e. Ensures that periodic self-inspections of thefacility's IS Program are conducted as part of the overallfacility self-inspection program and that corrective actionis taken for all identified findings and vulnerabilities. Self-inspections are to ensure that the IS is operating asaccredited and that accreditation conditions have notchanged.

f. Ensures the development of facility proceduresto:

(1) Govern marking, handling, controlling,removing, transporting, sanitizing, reusing, anddestroying media and equipment containing classifiedinformation.

(2) Properly implement vendor suppliedauthentication (password, account names) features orsecurity-relevant features.

(3) Report IS security incidents to the CSA.

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Ensure proper protection or corrective measures havebeen taken when an incident/vulnerability has beendiscovered.

(4) Require that each IS user sign anacknowledgment of responsibility for the security of theIS.

(5) Implement security features for thedetection of malicious code, viruses, and intruders(hackers), as appropriate.

g. Certifies to the CSA, in writing, that each SystemSecurity Plan (SSP) has been implemented; that thespecified security controls are in place and properlytested; and that the IS is functioning as described in theSSP.

h. Ensures notification of the CSA when an IS nolonger processes classified information, or when changesoccur that might affect accreditation.

i. Ensures that personnel are trained on the IS’sprescribed security restrictions and safeguards beforethey are initially allowed to access a system.

j. Develops and implements general and remotemaintenance procedures based on requirements providedby the CSA.

8-104. Information System Security Officer(s)(ISSO). ISSOs may be appointed by the ISSM infacilities with multiple accredited IS. The ISSM willdetermine the responsibilities to be assigned to the ISSOthat may include the following:

a. Ensure the implementation of security measures,in accordance with facility procedures.

b. Identify and document any unique threats.

c. If so directed by the GCA and/or if an identifiedunique local threat exists, perform a risk assessment todetermine if additional countermeasures beyond thoseidentified in this chapter are required.

d. Develop and implement a certification test asrequired by the ISSM/CSA.

e. Prepare, maintain, and implement an SSP thataccurately reflects the installation and security provisions.

f. Notify the CSA (through the ISSM) when an IS

no longer processes classified information, or whenchanges occur that might affect accreditation.

g. Ensure:

(1) That each IS is covered by the facilityConfiguration Management Program, as applicable.

(2) That the sensitivity level of theinformation is determined prior to use on the IS and thatthe proper security measures are implemented to protectthis information.

(3) That unauthorized personnel are notgranted use of, or access to, an IS.

(4) That system recovery processes aremonitored to ensure that security features and proceduresare properly restored.

h. Document any special security requirementidentified by the GCA and the protection measuresimplemented to fulfill these requirements for theinformation contained in the IS.

i. Implement facility procedures:

(1) To govern marking, handling, controlling,removing, transporting, sanitizing, reusing, anddestroying media and equipment containing classifiedinformation.

(2) To ensure that vendor-suppliedauthentication (password, account names) features orsecurity-relevant features are properly implemented.

(3) For the reporting of IS security incidentsand initiating, with the approval of the ISSM, protectiveor corrective measures when a security incident orvulnerability is discovered.

(4) Requiring that each IS user sign anacknowledgment of responsibility for the security of ISand classified information.

(5) For implementing and maintainingsecurity-related software for the detection of maliciouscode, viruses, and intruders (hackers), as appropriate.

j. Conduct ongoing security reviews and tests of theIS to periodically verify that security features andoperating controls are functional and effective.

k. Evaluate proposed changes or additions to the

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IS, and advises the ISSM of their security relevance.

l. Ensure that all active user Ids are revalidated atleast annually.

8-105. Users of IS. Users of IS are either privileged orgeneral users.

a. Privileged users have access to IS control,monitoring or administration functions. Examplesinclude:

(1) Users having "superuser," "root," orequivalent access to a system (e.g., system administrators,computer operators, ISSOs); users with near or completecontrol of an IS or who set up and administer useraccounts and authenticators.

(2) Users having access to change controlparameters (routing tables, path priorities, addresses,etc.) on routers, multiplexers, and other key ISequipment.

(3) Users who have been given the authorityto control and change other users' access to data orprogram files (e.g., applications software administrators,administrators of specialty file systems, databasemanagers).

(4) Users who have been given special accessfor troubleshooting or monitoring an IS' securityfunctions (e.g., those using analyzers, management tools).

b. General users are individuals who can inputinformation to or modify information on an IS or who canreceive information from an IS without a reliable humanreview.

c. All users shall:

(1) Comply with the IS Security Programrequirements.

(2) Be aware of and knowledgeable abouttheir responsibilities in regard to IS security.

(3) Be accountable for their actions on an IS.

(4) Ensure that any authenticationmechanisms (including passwords) issued for the controlof their access to an IS are not shared and are protectedat the highest classification level and most restrictive

classification category of information to which theypermit access.

(5) Acknowledge, in writing, theirresponsibilities for the protection of the IS and classifiedinformation.

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Section 2. Certification and Accreditation

8-200. Overview. The certification and accreditation(C&A) process is an integral part of the life cycle of anIS. The identification of protection measures occursduring system design or development. The formal C&Aoccurs after the protection measures have beenimplemented and any required IS protectiondocumentation has been approved. Certification validatesthat the protection measures described in the SSP havebeen implemented on the system and that the protectionmeasures are functioning properly. Accreditation is theapproval by the CSA for the system to process classifiedinformation.

8-201. Certification Process. Certification is thecomprehensive evaluation of the technical and non-technical security features of an IS and other safeguards,made as part of and in support of the accreditationprocess, to establish the extent to which a particulardesign and implementation meet a specified set ofsecurity requirements. The certification process subjectsthe system to appropriate verification that protectionmeasures have been correctly implemented. The ISSMshall review and certify to the CSA that all systems havethe appropriate protection measures in place and validatethat they provide the protection intended. The CSA mayconduct an on site assessment to validate the ISSM'sreview and certification of the IS.

8-202. Accreditation. The accreditation of an IS is theofficial management decision to permit operation of an ISin a specified environment at an acceptable level of risk,based on the implementation of a CSA approved set oftechnical, managerial and procedural safeguards. All IScertifications shall be reviewed and IS accredited tooperate by the CSA.

a. Interim Approval to Operate. The CSA maygrant interim approval (temporary authority) to operatean IS. Interim approval to operate may be granted for upto 180 days with an option for the CSA to extend theinterim approval for an additional 180 days. CSA-approved protection measures shall be in place andfunctioning during the period of interim approval.

b. Reaccreditation. IS shall be reaccreditedwhenever security relevant changes are made to theaccredited IS. Proposed modifications to an IS shall bereviewed by the ISSM to determine if the proposedmodifications will impact the protections on the system.

If the protection aspects of the system’s environmentchange, if the applicable IS protection requirementschange, or if the protection mechanisms implemented forthe system change, the system shall be reaccredited.During the reaccreditation cycle, the CSA may grant aninterim approval to operate the system.

c. Review of Security-Relevant Changes. Allmodifications to security-relevant resources (includingsoftware, firmware, hardware, or interfaces andinterconnections to networks) shall be reviewed andapproved in accordance with procedures prior toimplementation. All security-relevant changes shall besubject to the provisions of the system configurationmanagement program. The ISSM shall notify the CSA ofrequests for changes to the resources that deviate fromthe requirements of the approved SSP. The CSA shalldetermine if system reaccreditation is required.

d. Re-evaluation of an Accreditation. Each ISshall be re-evaluated for reaccreditation every 3 years.Such review involves a determination by the CSA, withinput from the ISSM that the conditions under which theoriginal accreditation was granted still apply. If theaccreditation remains valid, the accreditation originallyfurnished by the CSA need only be annotated that the re-evaluation was conducted and the date of the re-evaluation.

e. Withdrawal of Accreditation. The CSA shallevaluate the risks and consider withdrawal ofaccreditation if the protection measures approved for thesystem do not remain effective or whenever any of thefollowing items change: levels of concern, protectionlevel, technical or nontechnical protection measures,vulnerabilities, operational environment, operationalconcept, or interconnections. The CSA shall withdrawaccreditation and ensure proper sanitization when thesystem is no longer required to process classifiedinformation, or if the operational need for the system nolonger outweighs the risk of operating the system.

f. Invalidation of an Accreditation. The CSA willbe notified and an accreditation will become invalidimmediately whenever detrimental, security-significantchanges occur to any of the following: the requiredprotection level; the operational environment; or theinterconnections.

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g. Certification and Accreditation of SimilarSystems. If two or more similar IS are to be operated inequivalent operational environments (e.g., the levels ofconcern and protection level are the same, the users haveat least the required clearances and access approvals forall information on the IS, the IS configurations areessentially the same, and the physical securityrequirements are similar), a Master SSP may be writtenby the ISSO, certified by the ISSM, and then approved bythe CSA to cover all such IS. The IS covered by aMaster SSP may range from stand alone workstations upto and including multi-user IS and local networks thatmeet the criteria for a Master SSP approach. This type ofapproval applies only to systems operating at ProtectionLevels 1 and 2 (see 8-402).

(1) Master Information Systems SecurityPlan. The Master SSP shall specify the informationrequired for each certification for an IS to be accreditedunder the plan.

(2) An IS Certification Report shall containthe information system identification and location and astatement signed by the ISSM certifying that the ISimplements the requirements in the Master SSP.

(3) The CSA shall accredit the first IS underthe Master SSP. All other IS to be operated under theMaster SSP shall be certified by the ISSM as meeting theconditions of the approved Master SSP. Thiscertification, in effect, accredits the individual IS tooperate under the Master SSP. A copy of eachcertification report shall be retained with the approvedcopy of the Master SSP.

(4) Recertification. IS certified under aMaster SSP remain certified until the Master SSP ischanged or 3 years have elapsed since the IS wascertified. If either the levels of concern or protection leveldescribed in the Master SSP change, the Master SSPshall be re-accredited by the CSA and all IS certifiedunder the Master SSP shall be re-certified by the ISSM incoordination with the CSA.

h. Systems under Multiple CSAs. For a systemthat involves multiple CSAs, the CSAs shall designate aprimary CSA. Each facility involved in the system shallidentify, in writing, the security officials who areresponsible for implementing IS protection on the systemcomponents at their respective facility.

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Section 3. Common Requirements

8-300. Introduction. This section describes theprotection requirements that are common to all IS.

8-301. Clearing and Sanitization. Instructions onclearing, sanitization and release of IS media shall beissued by the accrediting CSA.

a. Clearing. Clearing is the process of eradicatingthe data on media before reusing the media in anenvironment that provides an acceptable level ofprotection for the data that was on the media beforeclearing. All internal memory, buffer, or other reusablememory shall be cleared to effectively deny access topreviously stored information.

b. Sanitization. Sanitization is the process ofremoving the data from media before reusing the mediain an environment that does not provide an acceptablelevel of protection for the data that was in the mediabefore sanitizing. IS resources shall be sanitized beforethey are released from classified information controls orreleased for use at a lower classification level.

8-302. Examination of Hardware and Software. IShardware and software shall be examined when receivedfrom the vendor and before being placed into use.

a. IS Software. Commercially procured softwareshall be tested to ensure that the software contains noobvious features that might be detrimental to the securityof the IS. Security-related software shall be tested toverify that the security features function as specified.

b. IS Hardware. Hardware shall be examined todetermine that it appears to be in good working order andhas no elements that might be detrimental to the secureoperation of the IS when placed under facility control andcognizance. Subsequent changes and developments thataffect security may require additional examination.

8-303. Identification and AuthenticationManagement. As the complexity of a specific IS and theassociated residual risk for this system increase, the needfor identification and authentication of users and processbecomes more significant. Identification andauthentication controls are required to ensure that usershave the appropriate clearances and need-to-know for the

information on a particular system and shall be managedin accordance with procedures identified in the SSP.

a. Unique Identification. Each user shall beuniquely identified and that identity shall be associatedwith all auditable actions taken by that individual.

b. Authentication at Logon. Users shall berequired to authenticate their identities at “logon” time bysupplying their authenticator, such as a password, smartcard, or biometrics, in conjunction with their useridentification (ID) prior to the execution of anyapplication or utility on the system.

c. Applicability of Logon Authentication. Insome cases, it may not be necessary to use IS securitycontrols as logon authenticators. In the case of standalone workstations, or small local area networks, physicalsecurity controls and personnel security controls maysuffice. For example, if the following conditions are met,it may not be necessary for the IS to have a logon andpassword:

(1) The workstation does not have apermanent (internal) hard drive, and the removable harddrive and other associated storage media are stored in anapproved security container when not in use.

(2) All of the users with access to theworkstation and the security container/ removable mediahave the required clearance level and need-to-know forall of the data processed on the workstation.

(3) The workstation is located within anapproved security area, and all uncleared/lower-clearedpersonnel are escorted within the area.

d. Access to Authentication Data. Access toauthentication data shall be restricted to authorizedpersonnel through the use of encryption or file accesscontrols, or both.

e. User ID Reuse. Prior to reuse of a user ID, allprevious access authorizations (including file accesses forthat user ID) shall be removed from the system.

f. User ID Removal. When an employeeterminates, loses access to the system for cause, or no

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longer has a reason to access the IS, that individual’s userID and its authentication shall be disabled or removedfrom the system.

g. User ID Revalidation. Active user IDs arerevalidated at least annually.

h. Protection of Individual Authenticator. Anauthenticator that is in the form of knowledge (password)or possession (smart card, keys) shall not be shared withanyone.

i. Protection of Individual Passwords. Whenpasswords are used as authenticators, the following shallapply:

(1) Passwords shall be protected at a levelcommensurate with the sensitivity level or classificationlevel and classification category of the information towhich they allow access.

(2) Passwords shall contain a minimum ofeight non-blank characters, shall be valid for no longerthan 12 months and changed when compromised.

(3) Passwords shall be generated by a methodapproved by the CSA. Password acceptability shall bebased on the method of generation, the length of thepassword, password structure, and the size of thepassword space. The password generation method, thelength of the password, and the size of the passwordspace shall be described in an attachment to the SSP.

(4) When an IS cannot prevent a passwordfrom being echoed (e.g., in a half-duplex connection), anoverprint mask shall be printed before the password isentered to conceal the typed password.

(5) User software, including operatingsystem and other security-relevant software, comes witha few standard authenticators (e.g., SYSTEM, TEST,and MASTER) and passwords already enrolled in thesystem. The ISSO shall ensure that the passwords for allstandard authenticators are changed before allowing thegeneral user population access to the IS. The ISSO shallalso ensure that these passwords are changed after anew system version is installed or after other action istaken that might result in the restoration of thesestandard passwords.

8-304. Maintenance. IS are particularly vulnerable tosecurity threats during maintenance activities. The levelof risk is a factor of the nature of the maintenanceperson’s duties, the security awareness of the employees,

and the maintenance person’s access to classifiedinformation and facilities.

a. Cleared Maintenance Personnel. Maintenancepersonnel who are cleared to the highest classificationlevel of information on the system and indoctrinated forall information processed on that system do not require anescort, if need-to-know controls can be implemented.When possible, an appropriately cleared and technicallyknowledgeable, facility employee shall be present withinthe area where the maintenance is being performed toensure that security procedures are being followed.

b. Uncleared (or Lower-Cleared) MaintenancePersonnel.

(1) If appropriately cleared personnel areunavailable to perform maintenance, an uncleared orlower-cleared person may be used, provided anappropriately cleared and technically qualified escortmonitors and records the maintenance person's activitiesin a maintenance log. Uncleared maintenance personnelmust be U.S. citizens.

(2) System initiation and termination shall beperformed by the escort. In addition, keystrokemonitoring shall be performed during access to thesystem.

(3) Prior to maintenance, the IS shall becompletely cleared and all non-volatile data storagemedia shall be removed or physically disconnected andsecured. When a system cannot be cleared procedures,which are identified in the SSP, shall be enforced to denythe maintenance personnel visual and electronic access toany classified data contained on the system.

(4) A separate, unclassified copy of theoperating system, including any micro-coded floppydisks, CD-ROM, or cassettes that are integral to theoperating system, shall be used for all maintenanceoperations. The copy shall be labeled“UNCLASSIFIED -- FOR MAINTENANCE ONLY”and protected in accordance with procedures establishedin the SSP. Maintenance procedures for an IS using anon-removable storage device on which the operatingsystem is resident shall be considered by the ISSM on acase-by-case basis.

8-305. Malicious Code. Policies and procedures todetect and deter incidents caused by malicious code, suchas viruses or unauthorized modification to software, shallbe implemented. All files must be checked for viruses

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before being introduced on an IS and checked for othermalicious code as feasible. The use of personal or publicdomain software is strongly discouraged. Eachinstallation of such software must be approved by theISSM.

8-306. Marking Hardware, Output, and Media.Markings on hardware, output, and media shall conformto Chapter 4 of this Manual. If the required marking isimpractical or interferes with the operation of the media,the CSA may approve alternate marking procedures.

a. Hardware Components. All components of anIS, including input/output devices that have the potentialfor retaining information, terminals, stand-alonemicroprocessors, or word processors used as terminals,shall bear a conspicuous, external label that states thehighest classification level and most restrictiveclassification category of the information accessible to thecomponent in the IS. This labeling may be accomplishedusing permanent markings on the component, a signplaced on the terminal, or labels generated by the IS anddisplayed on the screen. If the CSA requires that labels becolor coded to indicate classification level they shall beorange for Top Secret, red for Secret, blue forConfidential, and green for unclassified.

b. Hard Copy Output and Removable Media.Hard copy output (paper, fiche, film, and other printedmedia) and removable media shall be marked withvisible, human-readable, external markings to theaccreditation level of the IS unless an appropriateclassification review has been conducted or in the case ofmedia, the information has been generated by a testedprogram verified to produce consistent results andapproved by the CSA. Such programs will be tested on astatistical basis to ensure continuing performance.

c. Unclassified Media. In the CSA-approved areaswhere classified and unclassified information areprocessed on collocated IS, unclassified media shall be somarked.

8-307. Personnel Security. Personnel with systemaccess play an integral role in protecting information;defining their system security policies; and maintainingand monitoring the confidentiality, integrity, andavailability attributes that are inherent within their IS.Duties, responsibilities, privileges, and specificlimitations of IS users, both general and privileged, shallbe specified in writing. So far as feasible, security duties

shall be distributed to preclude any one individual fromadversely affecting operations or the integrity of thesystem. Protection levels for particular IS shall bedetermined by the clearance level, formal accessapprovals, and need-to-know held by users of the IS, andthe classification level of data processed or stored.

8-308. Physical Security.

a. Safeguards shall be established that prevent ordetect unauthorized access to the IS and unauthorizedmodification of the IS hardware and software. Hardwareintegrity of the IS, including remote equipment, shall bemaintained at all times, even when all classifiedinformation has been removed from the IS.

b. Classified processing shall take place in a CSA-approved area.

c. Visual Access. Devices that display or outputinformation in human-readable form shall be positionedto prevent unauthorized individuals from reading theinformation.

d. Unescorted Access. All personnel grantedunescorted access to the area containing the IS shall havean appropriate security clearance.

8-309. Protection of Media. Media must be protected tothe level of accreditation until an appropriateclassification review has been conducted.

8-310. Review of Output and Media.

a. Human-Readable Output Review. Anappropriate sensitivity and classification review shall beperformed on human-readable output before the output isreleased outside the security boundary to determinewhether it is accurately marked with the appropriateclassification and applicable associated securitymarkings.

b. Media Review. Electronic output, such as files,to be released outside the security boundary shall beverified by a comprehensive review (in human-readableform) of all data on the media including embedded text(e.g., headers and footer) before being released.Information on media that is not in human-readable form(e.g., embedded graphs, sound, video, etc.) will beexamined for content using the appropriate softwareapplication. CSA-approved random or representativesampling techniques may be used to verify the proper

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marking of large volumes of output.

8-311. Configuration Management Configurationmanagement (CM) ensures that protection features areimplemented and maintained in the system. CM appliesa level of discipline and control to the processes ofsystem maintenance and modification. CM providessystem users with a measure of assurance that theimplemented system represents the approved system.

a. Configuration Documentation. Proceduresshall be implemented to identify and document the type,model, and brand of system or network component (e.g.,a workstation, personal computer, or router), security-relevant software product names and version or releasenumbers, and physical location.

b. System Connectivity. Procedures shall beimplemented to identify and document systemconnectivity, including any software used for wirelesscommunication, and any communications media.

c. Connection Sensitivity. The sensitivity level ofeach connection or port controlled by the SecuritySupport Structure (SSS) shall be documented.

d. CM Plan. The facility CM program shall bedocumented in a CM plan and shall include:

(1) Formal change control procedures toensure the review and approval of security-relevanthardware and software.

(2) Procedures for management of alldocumentation, such as the SSP and security test plans,used to ensure system security.

(3) Workable processes to implement,periodically test, and verify the CM plan.

(4) A verification process to provideadditional assurance that the CM process is workingeffectively and that changes outside the CM process aretechnically or procedurally not permitted.

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Section 4. Protection Measures

8-400. Protection Profiles. Protection profiles requiredfor a particular IS are determined by the Level of Concernfor Confidentiality and by the operating environment ofthe system as reflected by the clearances, accessapprovals and need-to-know embodied in the userenvironment. Operational data integrity and systemavailability, while important security concerns, are notcovered by the NISP and will be determined in additionalguidance or requirements issued by the GCA. However,provisions for integrity and availability concerns areincluded in this Chapter to provide guidance when theGCA contractually imposes them.

8-401. Level of Concern. The level of concern reflectsthe sensitivity of the information and the consequences ofthe loss of confidentiality, integrity or availability.

a. Information Sensitivity Matrices. Thematrices presented in Tables 1, 2, and 3 are designed toassist the CSA, with input from the ISSM in determiningthe appropriate protection level for confidentiality, andthe level of concern for integrity, and availability, ifcontractually mandated, for a given IS processing a givenset of information. The Information Sensitivity Matricesshould be used as follows:

(1) A determination of high, medium, or basicshall be made for each of the three attributes:confidentiality, integrity, and availability. It is notnecessary for the level of concern to be the same for allattributes of the system.

(2) When multiple applications on a systemresult in different levels of concern for the categories ofconfidentiality, integrity and availability the highest levelof concern for each category shall be used.

b. Confidentiality Level of Concern. Inconsidering confidentiality, the principal question is thenecessity for supporting the classification levels and thecategories of information (e.g., Secret National SecurityInformation) on the system in question. The ProtectionLevel Table for Confidentiality (Table 4) combines theprocessing environment with the level of concern forconfidentiality to provide a Protection Level. TheProtection Level is then applied to Table 5 to provide aset of graded requirements to protect the confidentialityof the information on the system.

c. Integrity Level of Concern. In consideringintegrity, the principal question is the necessity formaintaining the integrity of the information on the systemin question.

d. Availability Level of Concern. In consideringavailability, the principal consideration is the need for theinformation on the system in question to be available ina fixed time frame to accomplish a mission.

8-402. Protection Level. The protection level of an IS isdetermined by the relationship between two parameters:first, the clearance levels, formal access approvals, andneed-to-know of users; and second, the level of concernbased on the classification of the data on a particularsystem. The protection level translates into a set ofrequirements (tables 5, 6, and 7) that must beimplemented in the resulting system. Table 4 presentsthe criteria for determining the following three protectionlevels for confidentiality.

a. Systems are operating at Protection Level 1 whenall users have all required approvals for access to allinformation on the system. This means that all users haveall required clearances, formal access approvals, and theneed-to-know for all information on the IS, i.e. dedicatedmode.

b. Systems are operating at Protection Level 2when all users have all required clearances, and allrequired formal access approvals, but at least one userlacks the need-to-know for some of the information on thesystem, i.e. a system high mode.

c. Systems are operating at Protection Level 3 whenall users have all required clearances, but at least oneuser lacks formal access approval for some of theinformation on the system, i.e. compartmented mode.

8-403. Protection Profiles. Protection requirementsgraded by levels of concern and confidentiality protectionlevel are detailed in Section 6. Tables 5, 6, and 7 presentthe requirements detailed in Section 6. To use thesetables, find the column representing the protection levelfor confidentiality, or, if contractually mandated, find thecolumn representing the level of concern for integrity oravailability.

a. Confidentiality Components. Confidentiality

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components describe the confidentiality protectionrequirements that must be implemented in an IS using theprofile. The confidentiality protection requirements aregraded according to the confidentiality protection levels.

b. Integrity Components. Integrity components,if applicable, describe the integrity protectionrequirements that must be implemented in an IS using theprofile. The integrity protection requirements are gradedaccording to the integrity level of concern.

c. Availability Components. Availabilitycomponents, if applicable, describe the availabilityprotection requirements that must be implemented in anIS using the profile. The availability protectionrequirements are graded according to the availabilitylevel of concern.

Table 1. Information Sensitivity Matrix for Confidentiality.

Level of Concern Qualifiers

High TOP SECRET and SECRET Restricted Data (SIGMAs 1,2,14,15)

MediumSECRETSECRET Restricted Data

Basic CONFIDENTIAL

Table 2. Information Sensitivity Matrix for Integrity.

Level of Concern Qualifiers

High

Absolute accuracy required for mission accomplishment; or loss of life might result from loss ofintegrity; or loss of integrity will have an adverse effect on national-level interests; or loss ofintegrity will have an adverse effect on confidentiality.

Medium

High degree of accuracy required for mission accomplishment, but not absolute; or bodily injurymight result from loss of integrity; or loss of integrity will have an adverse effect on organizational-level interests.

Basic Reasonable degree of accuracy required for mission accomplishment.

Table 3. Information Sensitivity Matrix for Availability.

Level of Concern Qualifiers

HighInformation must always be available upon request, with no tolerance for delay; or loss of life mightresult from loss of availability; or loss of availability will have an adverse effect on national-levelinterests; or loss of availability will have an adverse effect on confidentiality.

MediumInformation must be readily available with minimum tolerance for delay; or bodily injury might resultfrom loss of availability; or loss of availability will have an adverse effect on organizational-levelinterests.

Basic Information must be available with flexible tolerance for delay.

NOTE: In this context, “High - no tolerance for delay” means no delay; “Medium - minimum tolerance for delay” meansa delay of seconds to hours; and “Basic - flexible tolerance for delay” means a delay of days to weeks. In the context of theNISPOM, integrity and availability shall only apply when the have a direct impact on protection measures for confidentiality,i.e., integrity of the password file, integrity of audit logs or when contractually imposed.

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Table 4. Protection Level Table for Confidentiality.

Level of Concern Lowest Clearance Formal Access Approval Need-To-Know Protection Level

High, Medium, or Basic At Least Equal toHighest Data

NOT ALL Users HaveALL

Not contributingto the decision

3

High, Medium, or Basic At Least Equal toHighest Data

ALL Users Have ALL NOT ALL Users HaveALL

2

High, Medium, or Basic At Least Equal toHighest Data

ALL Users Have ALL ALL Users Have ALL 1

Table 5. Protection Profile Table for Confidentiality.

Confidentiality Protection Level

Requirements (Paragraph) P L 1 PL 2 PL 3

Audit Capability (8-602) Audit 1 Audit 2 Audit 3Audit 4

Data Transmission (8-605) Trans 1 Trans 1 Trans 1

Access Controls (8-606) Access 1 Access 2 Access 3

Identification & Authentication (8-607) I&A 1 I&A 2,3,4 I&A2,4,5

Resource Control (8-608) ResrcCtrl 1 ResrcCtrl 1Session Controls (8-609) SessCtrl 1 SessCtrl 2 SessCtrl 2

Security Documentation (8-610) Doc 1 Doc 1 Doc 1

Separation of Functions (8-611) Separation

System Recovery (8-612) SR 1 SR 1 SR 1

System Assurance (8-613) SysAssur 1 SysAssur 1 SysAssur 2

Security Testing (8-614) Test 1 Test 2 Test 3

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Table 6. Protection Profile Table for Integrity.

Integrity Level of Concern

Requirements (Paragraph) Basic Medium High

Audit Capability (8-602) Audit 1 Audit 2 Audit 3

Backup and Restoration of Data (8-603) Backup 1 Backup 2 Backup 3

Changes to Data (8-604) Integrity 1 Integrity 2

System Assurance (8-613) SysAssur 1 SysAssur 2

Security Testing (8-614) Test 1 Test 2 Test 3

Table 7. Protection Profile Table for Availability.

Availability Level of Concern

Requirements (Paragraph) Basic Medium High

Alternate Power Source (8-601) Power 1 Power 2

Backup and Restoration of Data (8-603) Backup 1 Backup 2 Backup 3

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Section 5. Special Categories

8-500. Special Categories. Several categories of systemscan be adequately secured without implementation of allthe technical features specified this Chapter. Thesesystems are not “exceptions” or “special cases” butapplying the technical security requirements to thesesystems by rote results in unnecessary costs andoperational impacts. In general, the technical questionsare where, when, and how to apply a given set ofprotection measures, rather than whether to apply themeasures. For many of these “special” systems (such asguards or pure servers; and tactical, embedded, data-acquisition, and special-purpose systems), the physicalsecurity protections for the system provide the requiredaccess control, while the application running on theplatform provides the required user separation.

8-501. Single-user, Stand-alone Systems. Extensivetechnical protection measures are normally inappropriateand inordinately expensive for single-user, stand-alonesystems. The CSA can approve administrative andenvironmental protection measures for such systems, inlieu of technical ones. Systems that have one user at atime, but have a total of more than one user with nosanitization between users, are multi-user systems, andthe CSA shall consider the systems as such indetermining the protection level and the resulting securityrequirements. Systems that have one user at a time, aresanitized between users and periods of differentclassification/sensitivity, are periods processing systemsas described below.

8-502. Periods Processing. Periods processing is amethod of sequential operation of an IS that provides thecapability to process information at various levels ofsensitivity at distinctly different times.

a. Periods processing provides the capability toeither have more than one user or group of users(sequentially) on a single-user IS who do not have thesame need-to-know or who are authorized to accessdifferent levels of information; or use an IS at more thanone protection level (sequentially).

b. Sanitization After Use. If an IS is used forperiods processing either by more than one user or forsegregating information by classification level ontoseparate media, the SSP shall specify the sanitizationprocedures to be employed by each user before and aftereach use of the system.

c. Sanitization Between Periods. The IS shall besanitized of all information before transitioning from oneperiod to the next (e.g., whenever there will be a newuser(s) who does not have an access authorization orneed-to-know for data processed during the previousperiod, changing from one protection level to another).These procedures shall be documented in the SSP. Suchprocedures could include, among others, sanitizing non-volatile storage, exchanging disks, and powering downthe IS and its peripherals.

d. Media For Each Period. An IS employed inperiods processing shall have separate media for eachperiod of processing, including copies of operatingsystems, utilities, and applications software.

e. Audit. If there are multiple users of the systemand the system is not capable of automated logging, theCSA shall consider requiring manual logging. Audit trailsare not required for single-user stand-alone systems.

8-503. Pure Servers.

a. Certain specialized systems, when acting as pureservers in a network, do not fit the protection levelcriteria and may need fewer technical securitycountermeasures. These systems have the followingcharacteristics:

(1) No user code is present on the system.

(2) Only system administrators andmaintainers can access the system.

(3) The system provides non-interactiveservices to clients (e.g., packet routing or messagingservices).

(4) The hardware and/or applicationproviding network services otherwise meet the securityrequirements of the network.

(5) The risk of attack against the SecuritySupport Structure (SSS) using network communicationpaths is sufficiently low.

(6) The risk of attack against the SSS usingphysical access to the system itself is sufficiently low.

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b. The platform (i.e., hardware and operatingsystem) on which the guard or pure server runs usuallyneeds to meet no more than Protection Level 3 securityrequirements. The guard or pure server may have a largenumber of clients (i.e., individuals who use the guard orserver functional capabilities in a severely constrainedway). The guard application or server application itselfwill have to provide the more stringent technicalprotections appropriate for the system’s protection leveland operational environment. Assurances appropriate tothe levels of concern for the system shall be implemented.

c. Systems that have general users or executegeneral user code are not “pure servers” within themeaning of this section, and so must meet all securityrequirements specified for their protection level andoperational environment.

d. The term “pure server" is not intended to limitthe applicability of this section to systems that havetraditionally been referred to as servers. For example, amessaging system that happened to be implemented on ageneral-purpose computer platform could be accreditedunder this section and, if such a system meets thespecifications in a, above, the system’s technicalrequirements could be categorized by this section.

e. The above easing of technical securityrequirements does not imply any relaxation in othersecurity requirements (e.g., physical and communicationssecurity requirements) which are determined by theinformation handled or protected by the system. As statedabove, this easing of technical requirements is predicatedupon adequate application of physical security and otherappropriate security disciplines.

8-504. Tactical, Embedded, Data-Acquisition, andSpecial-Purpose Systems. Some systems are incapableof alteration by users and are designed and implementedto provide a very limited set of predetermined functions.Certain tactical or so-called “embedded” systems fall intothis category, as do some data-acquisition systems andsome other special-purpose systems. These systems alsohave the characteristics that: first and most importantly,there are no general users on the system; and, second,there is no user code running on the system. If the CSAdetermines that such a system is sufficiently incapable ofalteration, and that the application(s) running on thesystem provide an adequate level of security, then thesystem does not have to meet additional securityrequirements specified for more-general-purpose systems

in this section. The CSA and implementers are cautionedto be sure that such systems do, in all operationalsituations, provide the separation appropriate to thesystem’s protection level.

8-505. Systems with Group Authenticators. Manysecurity measures specified in this section implicitlyassume that the system includes an acceptable level ofindividual accountability. This is normally ensured by theuse of unique user identifiers and authenticators.Operationally, the design of some systems necessitatesmore than one individual using the same identifier/authenticator combination. Such situations are oftenreferred to as requiring the use of group authenticators. Ingeneral, the use of group authenticators precludes theassociation of a particular act with the individual whoinitiated that act. In turn, this can preclude assignment ofresponsibility and can exacerbate the difficulties involvedin incident investigation. Group authenticators shall beused only for broader access after the use of a uniqueauthenticator for initial identification and authentication,and documented in SSP. Group authenticators may not beshared with anyone outside ofthe group.

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Section 6. Protection Requirements

8-600. Introduction. This section describes theimplementation requirements for different protectionmeasure.

8-601. Alternate Power Source (Power). An alternatepower source ensures that the system availability ismaintained in the event of a loss of primary power. AnAPS can also provide a time period for orderly systemshutdown or the transfer of system operations to anothersystem or power source.

a. Power 1 Requirements. Procedures for thegraceful shutdown of the system shall ensure no loss ofdata. The decision not to use an alternate source of power,such as an uninterruptible power supply (UPS) for thesystem, shall be documented.

b. Power 2 Requirements. Instead of Power 1,procedures for transfer of the system to another powersource shall ensure that the transfer is completed withinthe time requirements of the application(s) on the system.

8-602. Audit Capability. Security auditing involvesrecognizing, recording, storing, and analyzing informationrelated to security-relevant activities. The audit recordscan be used to determine which activities occurred andwhich user or process was responsible for them.

a. Audit 1 Requirements.

(1) Automated Audit Trail Creation: Thesystem shall automatically create and maintain an audittrail or log (On a PL-1 system only: In the event that theOperating System cannot provide an automated auditcapability, an alternative method of accountability for useractivities on the system shall be developed anddocumented.) Audit records shall be created to record thefollowing:

(a) Enough information to determine thedate and time of action (e.g., common network time), thesystem locale of the action, the system entity that initiatedor completed the action, the resources involved, and theaction involved.

(b) Successful and unsuccessful logonsand logoffs.

(c) Successful and unsuccessfulaccesses to security-relevant objects and directories,including creation, open, close, modification, anddeletion.

(d) Changes in user authenticators.

(e) The blocking or blacklisting of auser ID, terminal, or access port and the reason for theaction.

(f) Denial of access resulting from anexcessive number of unsuccessful logon attempts.

(2) Audit Trail Protection. The contents ofaudit trails shall be protected against unauthorizedaccess, modification, or deletion.

(3) Audit Trail Analysis. Audit analysis andreporting shall be scheduled, and performed. Securityrelevant events shall be documented and reported. Thefrequency of the review shall be at least weekly and shallbe documented in the SSP.

(4) Audit Record Retention. Audit recordsshall be retained for at least one review cycle or asrequired by the CSA.

b. Audit 2 Requirements. In addition to Audit 1:

(1) Individual accountability (i.e., uniqueidentification of each user and association of that identitywith all auditable actions taken by that individual).Periodic testing by the ISSO or ISSM of the securityposture of the IS.

c. Audit 3 Requirements. In addition to Audit 2:

(1) Automated Audit Analysis. Auditanalysis and reporting using automated tools shall bescheduled and performed.

d. Audit 4 Requirements. In addition to Audit 3:

(1) An audit trail, created and maintained bythe IS, that is capable of recording changes tomechanism's list of user formal access permissions.

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8-603. Backup and Restoration of Data (Backup). Theregular backup of information is necessary to ensure thatusers have continuing access to the information. Theperiodic checking of backup inventory and testing of theability to restore information validates that the overallbackup process is working.

a. Backup 1 Requirements.

(1) Backup Procedures. Procedures for theregular backup of all essential and security-relevantinformation, including software tables and settings, suchas router tables, software, and documentation, shall bedocumented.

(2) Backup Frequency. The frequency ofbackups shall be defined by the ISSM, with the assistanceof the GCA, and documented in the backup procedures.

b. Backup 2 Requirements. In addition to Backup 1:

(1). Backup Media Storage. Media containingbackup files and backup documentation shall be stored atanother location, such as another part of the same building,a nearby building, or off facility, so as to reduce thepossibility that a common occurrence could eliminate theon-facility backup data and the off-facility backup data.

(2) Verification of Backup Procedures.Backup procedures shall be periodically verified.

c. Backup 3 Requirements. In addition to Backup2:

(1) Information Restoration Testing.Incremental and complete restoration of information frombackup media shall be tested on an annual basis.

8-604. Changes to Data (Integrity). The control ofchanges to data includes deterring, detecting, andreporting of successful and unsuccessful attempts tochange data. Control of changes to data may range fromsimply detecting a change attempt to the ability to ensurethat only authorized changes are allowed.

a. Integrity 1 Requirements.

(1) Change Procedures. Procedures andtechnical system features shall be implemented to ensurethat changes to the data and IS software are executed only

by authorized personnel or processes.

b. Integrity 2 Requirements. In addition toIntegrity 1:

(1) Transaction Log. A transaction log,protected from unauthorized changes, shall be availableto allow the immediate correction of unauthorized dataand IS software changes and the off-line verification ofall changes at all times.

8-605. Data Transmission (Trans). Informationprotection is required whenever classified information isto be transmitted through areas or components whereindividuals not authorized to have access to theinformation may have unescorted physical oruncontrolled electronic access to the information orcommunications media (e.g., outside the systemperimeter).

a. Trans 1 Requirements.

(1) Protections. One or more of thefollowing protections shall be used.

(a) Information distributed only withinan area approved for open storage of the information.

(b) National Security Agency (NSA)-approved encryption mechanisms appropriate for theencryption of classified information.

(c) Protected Distribution System.

8-606. Access Controls (Access). The IS shall storeand preserve the integrity of the sensitivity of allinformation internal to the IS.

a. Access 1 Requirements.

(1) Denial of physical access by unauthorizedindividuals unless under constant supervision oftechnically qualified, authorized personnel.

b. Access 2 Requirements. In addition to Access1:

(1) Discretionary access controls shall beprovided. A system has implemented discretionaryaccess controls when the security support structuredefines and controls access between named users andnamed objects (e.g., files and programs) in the system.

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The discretionary access control policy includesadministrative procedures to support the policy and itsmechanisms.

c. Access 3 Requirements. In addition to Access 2:

(1) Some process or mechanism that allowsusers (or processes acting on their behalf) to determine theformal access approvals granted to another user.

(2) Some process or mechanism that allowsusers (or processes acting on their behalf) to determine thesensitivity level of data.

8-607. Identification and Authentication (I&A).

a. I&A 1Requirements. Procedures that includeprovisions for uniquely identifying and authenticating theusers. Procedures can be external to the IS (e.g.,procedural or physical controls) or internal to the IS (i.e.,technical). Electronic means shall be employed wheretechnically feasible.

b. I&A 2 Requirements. In addition to I&A 1:

(1) An I&A management mechanism thatensures a unique identifier for each user and thatassociates that identifier with all auditable actions taken bythe user. The following must be specified in the SSP:

(a) Initial authenticator content andadministrative procedures for initial authenticatordistribution.

(b) Individual and Group Authenticators.Group authenticators may only be used in conjunction withan individual/unique authenticator, that is, individualsmust be authenticated with an individual authenticatorprior to use of a group authenticator.

(c) Length, composition and generation ofauthenticators.

(d) Change processes (periodic and incase of compromise.

(e) Aging of static authenticators (i.e., notone-time passwords or biometric patterns).

(f) History of authenticator changes, withassurance of non-replication of individual authenticators.

(g) Protection of authenticators.

c. I&A 3 Requirements. In addition to I&A 2:

(1) Access to the IS by privileged users whoeither reside outside of the IS's perimeter or whosecommunications traverse data links that are outside theIS's perimeter shall require the use of strongauthentication ( i.e., an I&A technique that is resistant toreplay attacks.)

d. I&A 4 Requirements. In those instances wherethe means of authentication is user-specified passwords,the ISSM may employ (with the approval of the CSA)automated tools to validate that the passwords aresufficiently strong to resist cracking and other attacksintended to discover the user's password.

e. I&A 5 Requirements. In those instances wherethe users are remotely accessing the IS, the users shallemploy a strong authentication mechanism.

8-608. Resource Control (ResrcCtrl) The system shallensure that resources contain no residual data beforebeing assigned, allocated, or reallocated.

8-609. Session Controls (SessCtrl). Session controlsare requirements, over and above identification andauthentication, for controlling the establishment of auser’s session.

a. SessCtrl 1 Requirements.

(1) User Notification. All users shall benotified prior to gaining access to a system that systemusage is monitored, recorded, and subject to audit. Theuser shall also be advised that, by using the system,he/she has granted consent to such monitoring andrecording. The user shall also be advised thatunauthorized use is prohibited and subject to criminaland civil penalties. If the operating system permits, eachinitial screen (displayed before user logon) shall containa warning text to the user and the user shall be requiredto take positive action to remove the notice from thescreen (monitoring and recording, such as collection andanalysis of audit trail information, shall be performed).The CSA will provide an approved banner. If it is notpossible to provide an “initial screen” warning notice,other methods of notification shall be developed andapproved by the CSA.

(2) Successive Logon Attempts. If theoperating system provides the capability, successive

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logon attempts shall be controlled as follows:

(a) By denying access after multiple(maximum of five) consecutive unsuccessful attempts onthe same user ID.

(b) By limiting the number of accessattempts in a specified time period.

(c) By the use of a time delay controlsystem.

(d) By other such methods, subject toapproval by the CSA.

(3) System Entry. The system shall grantsystem entry only in accordance with the conditionsassociated with the authenticated user’s profile. If noexplicit entry conditions are defined, the default shallprohibit all remote activities, such as remote logons andanonymous file access.

b. SessCtrl 2 Requirements. In addition to SessCtrl1:

(1). Multiple Logon Control. If the IS supportsmultiple logon sessions for each user ID or account, the ISshall provide a protected capability to control the numberof logon sessions for each user ID, account, or specificport of entry. The IS default shall be a single logonsession.

(2). User Inactivity. The IS shall detect aninterval of user inactivity, such as no keyboard entries, andshall disable any future user activity until the user re-establishes the correct identity with a valid authenticator.The inactivity time period and restart requirements shallbe documented in the SSP.

(3). Logon Notification. If the operatingsystem provides the capability, the user shall be notifiedupon successful logon of: the date and time of the user’slast logon; the location of the user (as can best bedetermined) at last logon; and the number of unsuccessfullogon attempts using this user ID since the last successfullogon. This notice shall require positive action by the userto remove the notice from the screen.

8-610. Security Documentation (Doc). Securitydocumentation includes all descriptions of the securityfeatures, design descriptions of security-relevant softwareand hardware, certification packages, and system securityplans. The SSP is the basic system protection documentand evidence that the proposed system, or update to an

existing system, meets the protection profilerequirements. The SSP is used throughout thecertification and approval process and serves for thelifetime of the system as the formal record of the systemand its environment as approved for operation. The SSPalso serves as the basis for inspections of the system.Information common to several systems at a facility orinformation contained in other documents may beattached to or referenced in the SSP.

a. Doc 1 Requirements.

(1) SSP. The SSP shall contain thefollowing:

(a) System Identification.

1. Security Personnel. The name,location, and phone number of the responsible systemowner, CSA, ISSM, and ISSO.

2. Description. A brief narrativedescription of the system or network mission or purposeand architecture, including subnetworks,communications devices, and protocols.

(b) System Requirements Specification.

1. Sensitivity and ClassificationLevels. The sensitivity or classification levels, andcategories of all information on the system andclearance, formal access approval and need-to-know ofIS users.

2. Levels of Concern forConfidentiality, Integrity, and Availability. Theconfidentiality level of concern and protection level, theintegrity level of concern, and the availability level ofconcern.

3. Protection Measures. Identifyprotection measures and how they are being met.

4. Variances from ProtectionMeasure Requirements. A description of any approvedvariances from protection measures. A copy of theapproval documentation shall be attached to the SSP.

(c) System-Specific Risks andVulnerabilities. A description of the risk assessment ofany threats or vulnerabilities unique to the system. Ifthere are no threats or vulnerabilities unique to the

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facility or system, a statement to that effect shall beentered. If any vulnerabilities are identified by theassessment of unique threats, the countermeasuresimplemented to mitigate the vulnerabilities shall bedescribed.

(d) System Configuration. A briefdescription of the system architecture, including a blockdiagram of the components that show the interconnectionsbetween the components and any connections to othersystems, and an information flow diagram.

(e) Connections to Separately AccreditedNetworks and Systems. If connections to other systemsexist, a memorandum of understanding is necessary if thesystems are approved by a person other than the CSAresponsible for this system. A copy of any memoranda ofunderstanding with other agencies shall be attached to theSSP.

(f) Security Support Structure. A briefdescription of the security support structure including allcontrolled interfaces, their interconnection criteria, andsecurity requirements.

(2) Certification and AccreditationDocumentation.

(a) Security Testing. Test plans,procedures, and test reports including risk assessment.

(b) Documentation. The test plan forongoing testing and the frequency of such testing shall bedocumented in the SSP.

(c) Certification. A certification statementthat the system complies with the requirements of theprotection level and levels of concern for this system. Thestatement shall be signed by the ISSM.

(d) Accreditation. Documentation foraccreditation includes the certification package. The CSAapproves the package and provides accreditationdocumentation.

8-611. Separation of Function Requirements(Separation). At Protection Level 3 the functions of theISSO and the system manager shall not be performed bythe same person.

8-612. System Recovery (SR). System recoveryaddresses the functions that respond to failures in the SSSor interruptions in operation. Recovery actions ensure that

the SSS is returned to a condition where all security-relevant functions are operational or system operation issuspended.

a. SR 1 Requirements. Procedures and ISfeatures shall be implemented to ensure that IS recoveryis done in a controlled manner. If any off-normalconditions arise during recovery, the IS shall beaccessible only via terminals monitored by the ISSO orhis /her designee, or via the IS console.

8-613. System Assurance (SysAssur). Systemassurance includes those components of a system(hardware, software, firmware, and communications)that are essential to maintaining the security policy(ies)of the system, (e.g. Security Support Structure).

a. SysAssur 1 Requirements.

(1) Access to Protection Functions. Accessto hardware/software/firmware that perform systems orsecurity functions shall be limited to authorizedpersonnel.

b. SysAssur 2 Requirements. In addition toSysAssur1:

(1) Protection Documentation. Theprotections and provisions of the SysAssur shall bedocumented.

(2) Periodic Validation of SysAssur.Features and procedures shall exist to periodicallyvalidate the correct operation of the hardware, firmware,and software elements of the SSS and shall bedocumented in the SSP.

d. SysAssur 3 Requirements. In addition toSysAssur2:

(1) SSS Isolation. The SSS shall maintain adomain for its own execution that protects it fromexternal interference and tampering (e.g., by reading ormodifying its code and data structures).

8-614. Security Testing (Test). Certification andongoing security testing are the verification of correctoperation of the protection measures in a system. TheISSM will perform and document the required tests.

a. Test 1 Requirements. Assurance shall beprovided to the CSA that the system operates inaccordance with the approved SSP and that the security

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features, including access controls and configurationmanagement, are implemented and operational.

b. Test 2 Requirements. In addition to Test1:

(1) Written assurance shall be provided to theCSA that the IS operates in accordance with the approvedSSP, and that the security features, including accesscontrols, configuration management and discretionaryaccess controls, are implemented and operational.

c. Test 3 Requirements. In addition to Test2:

(1) Certification testing shall be conductedincluding verification that the features and assurancesrequired for the Protection Level are functional.

(a) A test plan and procedures shall bedeveloped and shall include:

1. A detailed description of themanner in which the system’s Security Support Structuremeets the technical requirements for the Protection Levelsand Levels-of-Concern for integrity and availability.

2. A detailed description of theassurances that have been implemented, and how thisimplementation will be verified.

3. An outline of the inspection andtest procedures used to verify this compliance.

8-615. Disaster Recovery Planning. If disaster recoveryplanning is contractually mandated, the ISSM will developa plan that identifies the facility's mission essentialapplications and information, procedures for the backup ofall essential information and software on a regular basis,and testing procedures.

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Section 7. Interconnected Systems

8-700. Interconnected Systems Management. Thecharacteristics and capabilities of an IS implemented asnetworks require special security considerations. Thissection states additional requirements on a network orexpands on the security requirements stated in Section 6as they apply to a network.

a. When connecting two or more networks, theCSA shall review the security attributes of each network(even if the networks are accredited at the sameprotection level) to determine whether the combination ofdata and/or the combination of users on the connectednetwork requires a higher protection level.

b. A unified network is a connected collection ofsystems or networks that are accredited (1) under a singleSSP, (2) as a single entity, and (3) by a single CSA. Sucha network can be as simple as a small stand-alone LANoperating at Protection Level 1, following a singlesecurity policy, accredited as a single entity, andadministered by a single ISSO. Conversely, it can be ascomplex as a collection of hundreds of LANs separatedover a wide area but still following a single securitypolicy, accredited as a single entity by a single CSA. Theperimeter of each network encompasses all its hardware,software, and attached devices. Its boundary extends toall of its users.

c. An interconnected network is comprised of twoor more separately accredited systems and/or networks.Each separately accredited system or network maintainsits own intra-system services and controls, protects itsown resources, and retains its individual accreditation.Each participating system or network has its own ISSO.The interconnected network shall have a controlledinterface capable of adjudicating the different securitypolicy implementations of the participating systems orunified networks. An interconnected network alsorequires accreditation as a unit.

d. Systems that process information at differingclassification levels or with differing compartmentation(i.e., at least two kinds of information that requiredifferent formal access approvals) can be interconnectedif:

(1) They are interconnected through aControlled Interface (as defined below) that provides

the separation appropriate to the combination of thelevel(s) and compartment(s) being processed on bothsystems; or

(2) Both systems are operating at the sameprotection level (both systems must be accredited toprotect the information being transferred); or

(3) Both systems are accredited to processthe level(s) and compartment(s) of information that theywill receive, and at least one system is accredited toprovide appropriate separation for the information beingtransferred.

e. Any IS connected to another system that does notmeet either d (2) or d (3) above shall utilize a ControlledInterface(s) (CI) that performs the following:

(1) A communication of lower classificationlevel from within the system perimeter shall be reviewedfor classification before being released.

(2) A classified communication from withinthe system perimeter shall have the body and attachmentsof the communication encrypted with the appropriatelevel of encryption for the information, transmissionmedium, and target system.

(3) Communications from outside the systemperimeter shall have an authorized user as the addressee(i.e., the CI shall notify the user of the communication andforward the communication only on request from theuser). If classified information exists in thecommunication, it shall be encrypted with the appropriatelevel of encryption for the information, transmissionmedium, and target system.

8-701. Controlled Interface Functions.

a. The functions of the CI include:

(1) Providing a secure point ofinterconnection between networks, connected peripheraldevices, remote terminals, or remote hosts.

(2) Providing a reliable exchange of security-related information.

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(3) Filtering information in a data streambased on associated security labels for data content.

b. CIs have several characteristics including thefollowing:

(1) There are no general users on the CI.

(2) There is no user code running on the CI.

(3) The CI provides a protected conduit forthe transfer of user data.

(4) Communications from outside theperimeter of the system shall be reviewed for viruses andother malicious code.

8-702. Controlled Interface Requirements. The CIshall have the following properties:

a. Adjudicated Differences. The CI shall beimplemented to monitor and enforce the protectionrequirements of the network and to adjudicate thedifferences in security policies.

b. Routing Decisions. The CI shall base its routingdecisions on information that is supplied or alterable onlyby the SSS.

c. Restrictive Protection Requirements. The CIshall support the protection requirements of the most

d. User Code. The CI shall not run any user code.

e. Fail-secure. The CI shall be implemented so thatall possible failures shall result in no loss ofconfidentiality or unacceptable exposure to loss ofintegrity or availability.

f. Communication Limits. The CI shall ensure thatcommunication policies and connections that are notexplicitly permitted are prohibited.

g. In general, such systems have only privilegedusers; i.e., system administrators and maintainers. The CImay have a large number of clients (i.e., individuals whouse the CI’s functional capabilities in a severelyconstrained way). The CI application itself will have toprovide the more stringent technical protectionsappropriate for the system’s protection level. Multipleapplications do not affect the overall protection providedby the CI if each application (and the resourcesassociated with it) is protected from unauthorized accessor circumvention from other applications or users.

8-703. Assurances for CIs. Each CI shall be tested andevaluated to ensure that the CI, as implemented, canprovide the separation required for the system’sprotection level. Specifically, the platform on which theCI runs does not necessarily have to provide theneeded separation alone

restrictive of the attached networks or IS.