What are the key components of a security authorization package?
A security authorization package, often referred to as a Security Authorization Package (SAP) or Authorization Package, is a crucial documentation set that plays a central role in the authorization and accreditation (A&A) process for information systems, especially in government agencies and organizations following the Risk Management Framework (RMF). The key components of a security authorization package include:
1. System Security Plan (SSP): The SSP is a foundational document that provides a comprehensive overview of the information system's security posture. It includes detailed information about the system, including its purpose, system architecture, boundaries, security requirements, and a list of security controls selected for implementation.
2. Security Control Traceability Matrix (SCTM): The SCTM is a matrix that links the security controls specified in the SSP to the specific control enhancements and requirements. It ensures that each control requirement is addressed, and the implementation is documented.
3. Security Assessment Plan (SAP): The SAP outlines the approach and methodology for conducting security control assessments. It includes details on the scope of assessments, assessment methods (e.g., testing, examination, interviews), assessment team composition, and the schedule for assessments.
4. Security Assessment Report (SAR): The SAR documents the results of security control assessments. It includes findings, vulnerabilities, weaknesses, and any non-compliance issues discovered during assessments. Additionally, it provides recommendations for remediation and mitigation.
5. Plan of Action and Milestones (POA&M): The POA&M is a critical component that lists identified vulnerabilities, weaknesses, and deficiencies along with associated corrective actions and milestones for remediation. It helps organizations track progress in addressing security issues.
6. Authorization Letter: The authorization letter is issued by the Authorizing Official (AO) and signifies approval for the system to operate. It outlines the conditions and limitations for the system's operation, including any additional security requirements.
7. Continuous Monitoring Plan: This plan outlines the strategy for ongoing security monitoring, including the selection of security controls to be continuously monitored, monitoring frequency, metrics to be collected, and the reporting process.
8. Interconnection Security Agreement (ISA): If the system is interconnected with other systems, an ISA may be included to define the terms and conditions of the interconnection, security responsibilities of parties involved, and any security-related agreements.
9. Configuration Management Plan: This plan outlines how configuration management will be handled throughout the system's lifecycle, ensuring that security controls and configurations remain effective and up to date.
10. Incident Response Plan (IRP): The IRP describes the procedures and processes to be followed in the event of a security incident. It includes roles and responsibilities, reporting procedures, and steps for mitigating and recovering from incidents.
11. Contingency Plan: In case of disruptions or disasters, the contingency plan outlines procedures for maintaining critical system functions and data. This plan ensures system resilience and data recovery.
12. Documentation of Security Controls: Detailed documentation of the implementation and testing of each security control specified in the SSP, including control descriptions, configurations, and evidence of control effectiveness.
13. Security Policy and Procedures: Any relevant security policies and procedures that govern the system's operation and security management.
14. Evidence of Compliance: Supporting evidence and documentation that demonstrate compliance with security controls, including audit logs, test results, and documentation of security processes.
15. Security Training and Awareness Program: Documentation of security training and awareness programs for system users and administrators.
16. Other Relevant Documentation: Depending on the specific requirements and complexity of the system, additional documentation may be included in the security authorization package.
Creating a comprehensive security authorization package is a meticulous and critical process in the A&A process, as it provides a detailed record of the system's security posture, assessments, and compliance with security controls and standards. The package is reviewed and approved by the Authorizing Official (AO) before granting the system authorization to operate (ATO).