Describe the steps involved in creating a security authorization package.
Creating a security authorization package is a critical component of the Risk Management Framework (RMF) and the security authorization process for information systems. This package serves as a comprehensive documentation of the system's security posture, assessment results, and authorization-related information. Below are the steps involved in creating a security authorization package:
1. Documentation Preparation:
- Before starting the process, gather and prepare all relevant documentation related to the system. This includes system architecture diagrams, security policies and procedures, configuration guides, incident response plans, and any other relevant documents.
2. System Categorization:
- Determine the security categorization of the system, which helps establish the baseline for security controls. This step is typically carried out during the RMF initiation phase. Document the categorization decision, including the impact levels for confidentiality, integrity, and availability (CIA) of information.
3. Selecting Security Controls:
- Based on the security categorization, select appropriate security controls from control families like those defined in NIST SP 800-53. Document the selected controls, including their titles and identifiers.
4. Security Control Implementation:
- Describe how the selected security controls are implemented within the system. This includes specifying how each control is applied, configured, and integrated into the system's architecture and operations.
5. Security Assessment Plan (SAP):
- Develop a Security Assessment Plan (SAP) that outlines the approach and methods for assessing the effectiveness of the security controls. It should detail the scope of testing, assessment objectives, and the assessment team's roles and responsibilities.
6. Security Control Assessment (SCA):
- Conduct a Security Control Assessment (SCA) to evaluate the effectiveness of the selected controls. This involves testing, vulnerability scanning, and reviewing security configurations to verify that controls are working as intended.
7. Security Assessment Report (SAR):
- Document the findings of the SCA in a Security Assessment Report (SAR). The SAR should include detailed information about the assessment process, identified vulnerabilities, and recommendations for remediation.
8. Authorization Package Documentation:
- Compile all the documentation generated during the security authorization process. This includes the SAR, SAP, system categorization documents, security control documentation, and any other relevant materials.
9. Authorization Decision:
- The Authorizing Official (AO) reviews the authorization package to make an informed decision regarding system authorization. The AO can grant an Authorization to Operate (ATO), deny authorization, or authorize with conditions.
10. Plan of Action and Milestones (POA&M):
- If the AO grants an ATO with conditions, a Plan of Action and Milestones (POA&M) is created. This document outlines the specific actions and timelines for addressing identified vulnerabilities or deficiencies.
11. Authorization Memorandum:
- If an ATO is granted, the AO signs an Authorization Memorandum, formally granting permission for the system to operate. The memorandum includes conditions, if applicable.
12. Continuous Monitoring Plan:
- Develop a Continuous Monitoring Plan that outlines how the system's security posture will be continuously monitored post-authorization. This includes activities such as regular security scans, incident reporting, and ongoing assessments.
13. Security Authorization Package Submission:
- Submit the complete security authorization package, including the SAR, authorization memorandum, POA&M (if applicable), and all supporting documentation, to relevant stakeholders and oversight authorities.
14. Record Keeping:
- Maintain records of the security authorization package for future reference and audits. Proper record keeping is essential for compliance and accountability.
15. Ongoing Updates:
- As the system evolves or new threats and vulnerabilities emerge, update the security authorization package as needed. This includes revisiting the security controls and conducting periodic reauthorizations.
Creating a security authorization package is a comprehensive and structured process that ensures that information systems meet security requirements and are authorized to operate within an organization. It is an essential step in maintaining the security and integrity of sensitive information and critical systems.