IT systems assessment and authorization is the process of evaluating a system's security controls and determining if it meets the necessary security requirements and standards. Through this process, organizations can identify potential vulnerabilities and risks, mitigate them, and ensure compliance with relevant regulations and best practices.
The first step in the assessment and authorization process is to define the system boundaries and the security requirements. This requires a thorough understanding of the system's purpose, architecture, and intended usage. The security requirements should be aligned with organizational policies and standards, as well as any regulatory requirements that may apply.
Once the system boundaries and security requirements are defined, a comprehensive risk assessment is conducted. This involves identifying potential threats and vulnerabilities that could compromise the confidentiality, integrity, and availability of the system. And now that Open-Source Intelligence (OSINT) gathering is widely used to gather information on people and potentially organizations, identifying these types of risk exposures is especially important. Vulnerability scanning tools and techniques are used to identify weaknesses in the system, such as outdated software versions, misconfigured security settings, or weak password policies.
Based on the risk assessment findings, appropriate security controls are selected and implemented to mitigate the identified risks (examples of these controls using the NIST 800-53 controls are shown below). This can include measures such as firewall configurations, access controls, encryption, intrusion detection systems, and regular patching and updates. The effectiveness of these security controls is then assessed through various testing methods, such as penetration testing or vulnerability scanning, to ensure that they are correctly implemented and functioning as intended.
In addition to technical controls, assessing the operational processes and procedures associated with the system is also crucial. This includes conducting an evaluation of the organization's incident response plan, disaster recovery plan, backup procedures, user access management processes, and security awareness training programs. These operational controls ensure that the system is supported by appropriate policies, procedures, and user behaviors that align with the security goals and objectives.
Once the system's security controls are implemented and operational, the authorization process can begin. This involves a formal review and approval by management or a designated authorization authority. The authorization authority evaluates the system's security posture and determines if it meets the established security requirements and is ready for operational use. This authorization decision is typically based on a risk-based approach, considering the potential impact and likelihood of a security breach.
NIST 800-53 Controls:
When I was doing A&A duties as an ISSM, I was primarily using the NIST 800-53 controls. So, I wanted to show them here because many of the security control processes out there either use these same controls, or they map their controls to the NIST 800-53 controls. NIST Special Publication 800-53 "Security and Privacy Controls for Federal Information Systems and Organizations" provides a comprehensive catalog of security controls for federal information systems. The controls are divided into 18 families, which are further categorized into three main classes: management, operational, and technical controls. Here is a list of the NIST 800-53 security control families:
- Access Control
- Awareness and Training
- Audit and Accountability
- Security Assessment and Authorization
- Configuration Management
- Contingency Planning
- Incident Response
- Maintenance
- Media Protection
- Physical and Environmental Protection
- Planning
- Personnel Security
- Risk Assessment
- System and Communications Protection
- System and Information Integrity
- Program Management
- Identification and Authentication
- Acquisition (acquisition controls are not typically used for system security control selection; instead, they are used during the system acquisition process)
Each control family contains multiple controls that organizations can selectively implement based on their specific needs and risk assessments. The controls serve as a foundation for securing federal information systems and can also be adopted by non-government organizations as a best practice framework.
Wrapping It All Up:
IT systems assessment and authorization represent the linchpin of modern cybersecurity strategies. They are pivotal in safeguarding sensitive data and upholding compliance standards. This multifaceted process extends beyond mere checkbox exercises. It demands a comprehensive understanding of potential threats and the constant evolution of security measures.
The NIST 800-53 security controls serve as an invaluable framework, offering a structured approach to security implementation tailored to diverse environments. By meticulously identifying risks, organizations can deploy pertinent controls to ward off threats, thus fortifying their IT systems. This proactive stance is not just a regulatory obligation but a proactive strategy to preserve an organization's integrity.
In today's dynamic threat landscape, cybersecurity is an ongoing mission. Threats evolve, vulnerabilities emerge, and regulations change. Therefore, continuous monitoring and reassessment are essential. Organizations must remain adaptable, regularly fine-tuning their security measures to combat emerging threats. This continual commitment to vigilance ensures not only compliance but also the resilience of IT systems in the face of an ever-shifting digital landscape.
Resources:
- Framework for Improving Critical Infrastructure Cybersecurity (This is V1.1. V2 is out for public comment)
- Risk Management Framework for Information Systems and Organizations
- NIST SP 800 Special Publications
- CISA: Critical Infrastructure Sectors
