A Guide for Government Agencies and their Information System Vendors
What is NIST 800-53 Revision 5?
NIST 800-53 Revision 5 is a set of guidelines published by the National Institute of Standards and Technology (NIST) aimed at helping organizations manage and protect their information systems.
Officially titled “Security and Privacy Controls for Information Systems and Organizations,” it provides a comprehensive framework of security and privacy controls to safeguard federal information systems and organizations.
The standard includes a catalog of controls that organizations can use to protect their systems from various threats. The controls are organized into families and are designed to be applicable to a wide range of information systems, including those used by federal agencies and private sector organizations.
What are risk controls?
Risk controls are measures or strategies to manage and mitigate risks that an organization faces. They are part of a broader risk management framework and are designed to reduce the likelihood or impact of potential threats to an organization’s assets, operations, or objectives.
There are four types of controls
- Preventive Controls are designed to prevent risks from occurring. Examples include multi-factor authentication (MFA), security training for employees, firewalls, and access control measures.
- Detective Controls are intended to identify and detect risks that have already occurred or are in the process of occurring. Examples include risk monitoring and alerts, intrusion detection systems, audit logs, and regular security assessments.
- Corrective Controls focus on responses to and mitigation of the effects of risks that have already materialized. Examples include incident response plans, data recovery procedures, and patch management.
- Compensating Controls are used as alternative measures to address risks when primary controls cannot be implemented or are insufficient. They may not fully mitigate the risk but provide a level of protection or alternative approach.
Why was Revision 5 created?
NIST 800-53 Revision 5 is a critical resource for organizations aiming to build comprehensive security and privacy programs while meeting regulatory and contractual requirements. This revision was introduced to add new controls that reflect the evolving cybersecurity landscape, incorporating advancements in both technologies and emerging threats. Additionally, it places a stronger focus on privacy controls, acknowledging the growing importance of safeguarding personal data. Revision 5 also emphasizes the integration of security and privacy controls into an organization’s overall risk management framework, aligning with other standards and frameworks such as the NIST Cybersecurity Framework and ISO/IEC 27001
Who must comply with NIST 800-53?
The standard is primarily designed for U.S. federal agencies and their contractors but its influence extends broadly and has been adopted in a range of settings.
- Federal Agencies: U.S. federal agencies are required to comply with the standard as part of their Federal Information Security Modernization Act (FISMA) compliance. FISMA mandates that federal agencies develop, document, and implement an information security and protection program.
- Federal Contractors and Service Providers: Organizations (including vendors, contractors, and subcontractors) that handle federal information or operate federal systems often need to comply to meet contractual obligations.
- Organizations Handling Federal Data: Private sector entities and non-profit organizations that manage federal data or systems may also be required to follow these guidelines, particularly if they are involved in federal projects or have agreements with federal agencies.
- State and Local Governments: While not directly required, state and local government entities frequently adopt the standard to enhance their cybersecurity posture, especially if they handle federal data or receive federal funding.
- Private Sector Organizations: Many private sector organizations use the standard as a best practice framework to bolster their information security and privacy programs.
- International Organizations: Although not mandatory, international organizations use the standard as a reference for their own security and privacy frameworks, particularly if they work with U.S. federal agencies or seek to align with globally recognized standards.
Key requirements for compliance
Compliance with NIST 800-53 R5 involves a number of key requirements and processes centered around the implementation and management of the security and privacy controls.
Summary of the key requirements
- Establish a Risk Management Framework (RMF)
Organizations must establish and maintain a risk management framework that integrates risk assessment and risk mitigation strategies. This framework involves the continuous process of identifying, assessing, and managing risks related to information systems and data. By doing so, organizations can systematically address potential vulnerabilities and ensure that their systems are protected from evolving threats. - Implement Security and Privacy Controls
Organizations need to select appropriate security and privacy controls from the NIST 800-53 Revision 5 control catalog. The selection should be based on the system’s categorization and risk assessment to ensure that the chosen controls match the specific needs and risks associated with the system. Once selected, these controls must be implemented effectively, which involves developing and deploying the necessary policies, procedures, and technical solutions to protect the information systems and data from unauthorized access or breaches. - Develop System Security and Privacy Plans
Organizations must document the security controls in a System Security Plan (SSP). This plan provides a detailed description of how each control is implemented, the environment in which the system operates, and any constraints that may affect the system’s security. For systems that handle personal data, a Privacy Impact Assessment (PIA) should be developed, along with a System Privacy Plan (SPP) that outlines the specific privacy controls implemented to protect sensitive information. - Conduct Security and Privacy Assessments
Organizations must regularly assess and test the effectiveness of their implemented controls through security assessments and audits. These evaluations may include vulnerability assessments, penetration testing, and compliance reviews to identify any gaps in security or areas for improvement. Additionally, continuous monitoring practices should be established to detect changes in the threat landscape, system environment, or control effectiveness and to ensure that the system remains secure over time. - Perform Authorization and Accountability
Organizations must obtain Authorization to Operate (ATO) for their systems, which is granted based on the risk management framework and an evaluation of the effectiveness of the controls in place. To support ongoing security and privacy efforts, roles and responsibilities must be clearly established for managing and overseeing the information security and privacy processes, ensuring that there is accountability for the proper implementation and maintenance of the controls. - Maintain Documentation and Reporting
Organizations must maintain comprehensive and up-to-date documentation related to security and privacy controls. This includes detailed records of policies, procedures, assessment results, and any changes to the system or its environment. Additionally, organizations are responsible for reporting any security and privacy incidents or control deficiencies in accordance with both organizational and regulatory requirements, ensuring that proper corrective actions are taken when necessary. - Training and Awareness
Organizations must develop and deliver training programs for all employees and contractors to ensure that they are knowledgeable about and adhere to security and privacy policies and procedures. To complement these training efforts, regular awareness campaigns should be conducted to keep personnel informed about emerging threats, security risks, and best practices in information security and privacy. - Review and Update
Organizations must regularly review and update their security and privacy controls, policies, and procedures. This ensures that the controls remain effective and aligned with any changes in the organization’s risk environment or regulatory requirements. Continuous updates are necessary to adapt to new challenges in the cybersecurity landscape and maintain a strong security posture. - Integrate with Other Frameworks
Where applicable, organizations should align the implementation of NIST 800-53 controls with other frameworks and standards, such as the NIST Cybersecurity Framework or ISO/IEC 27001. This alignment helps to ensure comprehensive coverage of security and privacy best practices while streamlining efforts across multiple regulatory and industry-specific frameworks.
How does NIST 800-53 R5 apply to suppliers and supply chain partners?
NIST 800-53 R5 emphasizes the importance of managing cybersecurity risks not only within an organization but also across its supply chain. This recognition stems from the understanding that supply chain partners and suppliers can introduce significant risks to the security and privacy of information systems. Here’s how NIST 800-53 R5 applies to suppliers and supply chain partners:
1. Incorporation of Supply Chain Risk Management (SCRM) Controls
- Control Families: NIST 800-53 R5 includes specific controls related to supply chain risk management within the “Supply Chain Protection” control family. These controls focus on mitigating risks associated with the acquisition, use, and management of products and services from suppliers.
- Control Implementation: Organizations are expected to implement controls that address risks associated with their supply chain. This includes evaluating and managing risks related to the supply chain processes, components, and services provided by third parties.
2. Contractual and Security Requirements
- Contract Clauses: When engaging with suppliers, organizations should include contractual clauses that require adherence to security and privacy controls consistent with NIST 800-53 R5. This may involve stipulating specific security requirements and the need for regular compliance reporting and audits.
- Security Assessments: Organizations may require suppliers to undergo security assessments or audits to ensure they meet the necessary security and privacy standards.
3. Risk Assessment and Due Diligence
- Supplier Risk Assessment: Organizations are required to conduct risk assessments for their supply chain partners to identify potential vulnerabilities and threats. This involves evaluating the security posture of suppliers and the risks they may pose to the organization’s information systems.
- Due Diligence: Organizations should perform due diligence when selecting and managing suppliers, ensuring they have appropriate security controls and practices in place.
4. Monitoring and Reporting
Organizations should establish mechanisms for continuous monitoring of supply chain risks, including monitoring the security and privacy posture of suppliers. This helps in identifying and addressing any emerging threats or vulnerabilities. Suppliers should be required to report any security incidents or breaches that could impact the organization. Effective incident reporting mechanisms should be established to facilitate timely communication and response.
5. Integration with Risk Management Framework
Integrate supply chain risk management into the organization’s overall Risk Management Framework (RMF). This involves incorporating supply chain risks into the organization’s risk management processes and ensuring that supply chain risks are considered in the assessment and authorization of information systems.
6. Documentation and Evidence
Maintain thorough documentation of the security controls and risk management practices applied to supply chain partners. This documentation should include details about the selection process, security requirements, risk assessments, and ongoing monitoring activities.
7. Training and Awareness
Ensure that suppliers are aware of and understand the security requirements and controls expected of them. This may involve providing training or resources to help suppliers comply with the required standards.
8. Incident Response and Recovery
Develop and implement incident response and recovery plans that include provisions for handling incidents involving supply chain partners. This ensures a coordinated response to any security incidents affecting the supply chain.By integrating these practices, organizations can better manage supply chain risks and ensure that their partners and suppliers contribute to the overall security and privacy of the organization’s information systems. NIST 800-53 R5 provides a structured approach for addressing these risks, helping organizations build more resilient and secure supply chains.
How can Craft help?
The Craft platform enables robust supplier risk management capabilities and ensures compliance with supply chain due diligence and risk mitigation requirements. The Craft platform enhances your organizations risk management posture with the ability to:
- Conduct supplier risk assessments with in-depth company profiles and easily scalable due diligence for selecting and managing suppliers
- Continuously monitor your supplier network for events and changes in risk status
- Identify supplier relationships and dependencies in the supply chain for key products, components, materials and services
- Share incident reports across teams and coordinate collaborative responses for faster risk mitigation
- Integrate with other risk and governance technology platforms
- Document your efforts for proof of compliance