What documentation is typically required for the authorization of an information system in the RMF?
Authorization of an information system within the Risk Management Framework (RMF) is a critical step in ensuring that the system is prepared to operate securely. This authorization process involves the creation and submission of various documentation to gain approval from the Authorizing Official (AO) or the Authorizing Official Designated Representative (AODR). The documentation typically required for the authorization of an information system in the RMF includes:
1. System Security Plan (SSP):
- The System Security Plan is a comprehensive document that provides an overview of the information system's security posture. It outlines the security controls, their implementation, and the rationale behind their selection and tailoring. The SSP serves as a foundational document for the authorization process.
2. Security Assessment Report (SAR):
- The Security Assessment Report documents the results of security control assessments and tests. It includes details on the assessment methodology, findings, vulnerabilities discovered, and recommended corrective actions. The SAR is instrumental in evaluating the effectiveness of security controls.
3. Plan of Action and Milestones (POA&M):
- The POA&M is a critical document that lists identified vulnerabilities, weaknesses, and non-compliant elements from security assessments. It outlines the steps to remediate these issues, assigns responsibility for each action item, and establishes target completion dates.
4. Security Control Traceability Matrix (SCTM):
- The SCTM provides a mapping of security controls to specific system components and vulnerabilities. It demonstrates how each control addresses identified risks and vulnerabilities within the system.
5. Continuous Monitoring Strategy:
- The Continuous Monitoring Strategy outlines the organization's plan for ongoing monitoring and maintenance of security controls. It includes details on monitoring frequency, methods, tools, and reporting procedures.
6. Incident Response Plan (IRP):
- An Incident Response Plan is crucial for handling security incidents and breaches effectively. It outlines the procedures and responsibilities for detecting, reporting, and responding to security incidents within the information system.
7. Security Policies and Procedures:
- Documentation of security policies and procedures that govern the operation of the information system, including access control policies, data protection policies, and incident response procedures.
8. Authorization Package:
- A compilation of all the above documents, including the SSP, SAR, POA&M, and other relevant documentation, is often referred to as the Authorization Package. This package is submitted to the AO or AODR for review and approval.
9. Evidence of Compliance:
- Supporting evidence and artifacts that demonstrate compliance with security controls and policies. This may include audit logs, system configuration documentation, and evidence of security training and awareness programs.
10. Security Plan of Action:
- In cases where vulnerabilities or non-compliance issues are identified, a Security Plan of Action outlines specific steps and timelines for addressing and mitigating these issues.
11. Test Plans and Reports:
- Detailed test plans and reports related to security control assessments and validation activities. These documents provide insights into the rigor of testing and the reliability of security controls.
12. Authorization Memorandum:
- The Authorization Memorandum is a formal document signed by the AO or AODR, indicating their approval to authorize the information system to operate. It includes an acceptance of the residual risks and any conditions or restrictions placed on the system.
These documents collectively support the decision-making process for authorizing the information system to operate. The AO or AODR reviews the documentation to assess the system's compliance with security requirements, its readiness to operate securely, and the residual risks associated with its operation. Authorization is granted when the information system is deemed to meet the established security standards and requirements, and any identified risks are considered acceptable or manageable.