Industry:Project Review/NIST SP 800-37r1 FPD Appendix B

APPENDIX B

GLOSSARY

COMMON TERMS AND DEFINITIONS

Appendix B provides definitions for security terminology used within Special Publication 800-37. Unless specifically defined in this glossary, all terms used in this publication are consistent with the definitions contained in CNSS Instruction 4009, National Information Assurance Glossary.

Adequate Security [OMB Circular A-130, Appendix III]

Security commensurate with the risk and the magnitude of harm resulting from the loss, misuse, or unauthorized access to or modification of information.

Agency

See Executive Agency.

Assurance

The grounds for confidence that the set of intended security controls in an information system are effective in their application.

Authorization (to operate)

The official management decision given by a senior organizational official to authorize operation of an information system and to explicitly accept the risk to organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation based on the implementation of an agreed-upon set of security controls.

Authorization Boundary

All components of an information system to be authorized for operation by an authorizing official and excludes separately authorized systems, to which the information system is connected.

Authorize Processing

See Authorization.

Authorizing Official

A senior (federal) official or executive with the authority to formally assume responsibility for operating an information system at an acceptable level of risk to organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation.

Authorizing Official Designated Representative

An organizational official acting on behalf of an authorizing official in carrying out and coordinating the required activities associated with security authorization.

Availability [44 U.S.C., Sec. 3542]

Ensuring timely and reliable access to and use of information.

Chief Information Officer [PL 104-106, Sec. 5125(b)]

Agency official responsible for:</br>:(i) Providing advice and other assistance to the head of the executive agency and other senior management personnel of the agency to ensure that information technology is acquired and information resources are managed in a manner that is consistent with laws, Executive Orders, directives, policies, regulations, and priorities established by the head of the agency;</br>:(ii) Developing, maintaining, and facilitating the implementation of a sound and integrated information technology architecture for the agency; and</br>:(iii) Promoting the effective and efficient design and operation of all major information resources management processes for the agency, including improvements to work processes of the agency.</br>Note: Organizations subordinate to federal agencies may use the term Chief Information Officer to denote individuals filling positions with similar security responsibilities to agency-level Chief Information Officers.

Chief Information Security Officer

See Senior Agency Information Security Officer.

Common Control

A security control that is inherited by one or more organizational information systems. See Security Control Inheritance.

Common Control Provider

An organizational official responsible for the development, implementation, assessment, and monitoring of common controls (i.e., security controls inherited by information systems).

Compensating Security Controls

The management, operational, and technical controls (i.e., safeguards or countermeasures) employed by an organization in lieu of the recommended controls in the low, moderate, or high baselines described in NIST Special Publication 800-53, that provide equivalent or comparable protection for an information system.

Confidentiality [44 U.S.C., Sec. 3542]

Preserving authorized restrictions on information access and disclosure, including means for protecting personal privacy and proprietary information.

Configuration Control [CNSSI 4009]

Process for controlling modifications to hardware, firmware, software, and documentation to protect the information system against improper modifications before, during, and after system implementation.

Controlled Unclassified Information

A categorical designation that refers to unclassified information that does not meet the standards for National Security Classification under Executive Order 12958, as amended, but is</br>:(i) pertinent to the national interests of the United States or to the important interests of entities outside the federal government; and</br>:(ii) under law or policy requires protection from unauthorized disclosure, special handling safeguards, or prescribed limits on exchange or dissemination. Henceforth, the designation CUI replaces Sensitive But Unclassified (SBU).

Countermeasures [CNSSI 4009]

Actions, devices, procedures, techniques, or other measures that reduce the vulnerability of an information system. Synonymous with security controls and safeguards.

Domain [CNSSI 4009]

An environment or context that includes a set of system resources and a set of system entities that have the right to access the resources as defined by a common security policy, security model, or security architecture. See Security Domain.

Dynamic Subsystem

A subsystem that is not continually present during the execution phase of an information system. Service oriented architectures and cloud computing architectures are examples of architectures that employ dynamic subsystems.

Environment of Operation

The physical surroundings in which an information system processes, stores, and transmits information.

Executive Agency [41 U.S.C., Sec. 403]

An executive department specified in 5 U.S.C., Sec. 101; a military department specified in 5 U.S.C., Sec. 102; an independent establishment as defined in 5 U.S.C., Sec. 104(1); and a wholly owned Government corporation fully subject to the provisions of 31 U.S.C., Chapter 91.

External Information System (or Component)

An information system or component of an information system that is outside of the authorization boundary established by the organization and for which the organization typically has no direct control over the application of required security controls or the assessment of security control effectiveness.

External Information System Service

An information system service that is implemented outside of the authorization boundary of the organizational information system (i.e., a service that is used by, but not a part of, the organizational information system) and for which the organization typically has no direct control over the application of required security controls or the assessment of security control effectiveness.

External Information System Service Provider

A provider of external information system services to an organization through a variety of consumer-producer relationships including but not limited to: joint ventures; business partnerships; outsourcing arrangements (i.e., through contracts, interagency agreements, lines of business arrangements); licensing agreements; and/or supply chain exchanges.

Federal Agency

See Executive Agency.

Federal Information System [40 U.S.C., Sec. 11331]

An information system used or operated by an executive agency, by a contractor of an executive agency, or by another organization on behalf of an executive agency.

High-Impact System [FIPS 200]

An information system in which at least one security objective (i.e., confidentiality, integrity, or availability) is assigned a FIPS 199 potential impact value of high.

Hybrid Security Control

A security control that is implemented in an information system in part as a common control and in part as a system-specific control.</br>See Common Control and System-Specific Security Control.

Information [FIPS 199]

An instance of an information type.

Information Owner [CNSSI 4009]

Official with statutory or operational authority for specified information and responsibility for establishing the controls for its generation, collection, processing, dissemination, and disposal.

Information Resources [44 U.S.C., Sec. 3502]

Information and related resources, such as personnel, equipment, funds, and information technology.

Information Security [44 U.S.C., Sec. 3542]

The protection of information and information systems from unauthorized access, use, disclosure, disruption, modification, or destruction in order to provide confidentiality, integrity, and availability.

Information Security Architect

Individual, group, or organization responsible for ensury.

Information Security Architect

Individual, group, or organization responsible for ensuring that the information security requirements necessary to protect the organization’s core missions and business processes are adequately addressed in all aspects of enterprise architecture including reference models, segment and solution architectures, and the resulting information systems supporting those missions and business processes.

Information Security Policy [CNSSI 4009]

Aggregate of directives, regulations, rules, and practices that prescribes how an organization manages, protects, and distributes information.

Information Security Program Plan

Formal document that provides an overview of the security requirements for an organization-wide information security program and describes the program management controls and common controls in place or planned for meeting those requirements.

Information Steward

Individual or group that helps to ensure the careful and responsible management of federal information belonging to the Nation as a whole, regardless of the entity or source that may have originated, created, or compiled the information. Information stewards provide maximum access to federal information to elements of the federal government and its customers, balanced by the obligation to protect the information in accordance with the provisions of FISMA and any associated security-related federal policies, directives, regulations, standards, and guidance.

Information System [44 U.S.C., Sec. 3502]

A discrete set of information resources organized for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information. [Note: Information systems also include specialized systems such as industrial/process controls systems, telephone switching and private branch exchange (PBX) systems, and environmental control systems.]

Information System Owner (or Program Manager)

Official responsible for the overall procurement, development, integration, modification, or operation and maintenance of an information system.

Information System Security Engineer

Individual assigned responsibility for conducting information system security engineering activities.

Information System Security Engineering

Process that captures and refines information security requirements and ensures their integration into information technology component products and information systems through purposeful security design or configuration.

Information System-related Security Risks

Information system-related security risks are those risks that arise through the loss of confidentiality, integrity, or availability of information or information systems and consider impacts to the organization (including assets, mission, functions, image, or reputation), individuals, other organizations, and the Nation.</br>See Risk.

Information System Security Officer [CNSSI 4009]

Individual with assigned responsibility for maintaining the appropriate operational security posture for an information system or program.

Information Technology [40 U.S.C., Sec. 1401]

Any equipment or interconnected system or subsystem of equipment that is used in the automatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information by the executive agency. For purposes of the preceding sentence, equipment is used by an executive agency if the equipment is used by the executive agency directly or is used by a contractor under a contract with the executive agency which: (i) requires the use of such equipment; or (ii) requires the use, to a significant extent, of such equipment in the performance of a service or the furnishing of a product. The term information technology includes computers, ancillary equipment, software, firmware, and similar procedures, services (including support services), and related resources.

Information Type [FIPS 199]

A specific category of information (e.g., privacy, medical, proprietary, financial, investigative, contractor sensitive, security management) defined by an organization or in some instances, by a specific law, Executive Order, directive, policy, or regulation.

Integrity [44 U.S.C., Sec. 3542]

Guarding against improper information modification or destruction, and includes ensuring information non-repudiation and authenticity.

Low-Impact System [FIPS 200]

An information system in which all three security objectives (i.e., confidentiality, integrity, and availability) are assigned a FIPS 199 potential impact value of low.

Management Controls [FIPS 200]

The security controls (i.e., safeguards or countermeasures) for an information system that focus on the management of risk and the management of information system security.

Moderate-Impact System [FIPS 200]

An information system in which at least one security objective (i.e., confidentiality, integrity, or availability) is assigned a FIPS 199 potential impact value of moderate, and no security objective is assigned a FIPS 199 potential impact value of high.

National Security System [44 U.S.C., Sec. 3542]

Any information system (including any telecommunications system) used or operated by an agency or by a contractor of an agency, or other organization on behalf of an agency—(i) the function, operation, or use of which involves intelligence activities; involves cryptologic activities related to national security; involves command and control of military forces; involves equipment that is an integral part of a weapon or weapons system; or is critical to the direct fulfillment of military or intelligence missions (excluding a system that is to be used for routine administrative and business applications, for example, payroll, finance, logistics, and personnel management applications); or (ii) is protected at all times by procedures established for information that have been specifically authorized under criteria established by an Executive Order or an Act of Congress to be kept classified in the interest of national defense or foreign policy.

Net-centric Architecture

A complex system of systems composed of subsystems and services that are part of a continuously evolving, complex community of people, devices, information and services interconnected by a network that enhances information sharing and collaboration. Subsystems and services may or may not be developed or owned by the same entity, and, in general, will not be continually present during the full life cycle of the system of systems. Examples of this architecture include service-oriented architectures and cloud computing architectures.

Operational Controls [FIPS 200]

The security controls (i.e., safeguards or countermeasures) for an information system that are primarily implemented and executed by people (as opposed to systems).

Organization [FIPS 200, Adapted]

An entity of any size, complexity, or positioning within an organizational structure (e.g., a federal agency or, as appropriate, any of its operational elements).

Plan of Action and Milestones [OMB Memorandum 02-01]

A document that identifies tasks needing to be accomplished. It details resources required to accomplish the elements of the plan, any milestones in meeting the tasks, and scheduled completion dates for the milestones.

Potential Impact [FIPS 199]

The loss of confidentiality, integrity, or availability could be expected to have: (i) a limited adverse effect (FIPS 199 low); (ii) a serious adverse effect (FIPS 199 moderate); or (iii) a severe or catastrophic adverse effect (FIPS 199 high) on organizational operations, organizational assets, or individuals.

Reciprocity

Mutual agreement among participating enterprises to accept each other’s security assessments in order to reuse information system resources and/or to accept each other’s assessed security posture in order to share information.

Risk [FIPS 200, Adapted]

A measure of the extent to which an entity is threatened by a potential circumstance or event, and typically a function of: (i) the adverse impacts that would arise if the circumstance or event occurs; and (ii) the likelihood of occurrence.</br>Information system-related security risks are those risks that arise from the loss of confidentiality, integrity, or availability of information or information systems and reflect the potential adverse impacts to organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation.

Risk Assessment

The process of identifying risks to organizational operations (including mission, functions, image, reputation), organizational assets, individuals, other organizations, and the Nation, resulting from the operation of an information system. Part of risk management, incorporates threat and vulnerability analyses, and considers mitigations provided by security controls planned or in place. Synonymous with risk analysis.

Risk Executive (Function)

An individual or group within an organization that helps to ensure that: (i) security risk-related considerations for individual information systems, to include the authorization decisions for those systems, are viewed from an organization-wide perspective with regard to the overall strategic goals and objectives of the organization in carrying out its missions and business functions; and (ii) managing risk from individual information systems is consistent across the organization, reflects organizational risk tolerance, and is considered along with other organizational risks affecting mission/business success.

Risk Management [FIPS 200, Adapted]

The process of managing risks to organizational operations (including mission, functions, image, reputation), organizational assets, individuals, other organizations, and the Nation, resulting from the operation of an information system, and includes: (i) the conduct of a risk assessment; (ii) the implementation of a risk mitigation strategy; and (iii) employment of techniques and procedures for the continuous monitoring of the security state of the information system.

Safeguards [CNSSI 4009]

Protective measures prescribed to meet the security requirements (i.e., confidentiality, integrity, and availability) specified for an information system. Safeguards may include security features, management constraints, personnel security, and security of physical structures, areas, and devices. Synonymous with security controls and countermeasures.

Security Authorization

See Authorization.

Security Categorization

The process of determining the security category for information or an information system. Security categorization methodologies are described in CNSS Instruction 1253 for national security systems and in FIPS 199 for other than national security systems.

Security Controls [FIPS 199]

The management, operational, and technical controls (i.e., safeguards or countermeasures) prescribed for an information system to protect the confidentiality, integrity, and availability of the system and its information.

Security Control Assessment

The testing and/or evaluation of the management, operational, and technical security controls in an information system to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system.

Security Control Assessor

The individual, group, or organization responsible for conducting a security control assessment.

Security Control Inheritance

A situation in which an information system or application receives protection from security controls (or portions of security controls) that are developed, implemented, assessed, authorized, and monitored by entities other than those responsible for the system or application; entities either internal or external to the organization where the system or application resides. See Common Control.

Security Domain [CNSSI 4009]

A domain that implements a security policy and is administered by a single authority.

Security Impact Analysis

The analysis conducted by an organizational official to determine the extent to which changes to the information system have affected the security state of the system.

Security Objective [FIPS 199]

Confidentiality, integrity, or availability.

Security Plan

Formal document that provides an overview of the security requirements for an information system or an information security program and describes the security controls in place or planned for meeting those requirements.</br>See System Security Plan or Information Security Program Plan.

Security Policy [CNSSI 4009]

A set of criteria for the provision of security services.

Security Requirements [FIPS 200]

Requirements levied on an information system that are derived from applicable laws, Executive Orders, directives, policies, standards, instructions, regulations, procedures, or organizational mission/business case needs to ensure the confidentiality, integrity, and availability of the information being processed, stored, or transmitted.

Senior (Agency) Information Security Officer [44 U.S.C., Sec. 3544]

Official responsible for carrying out the Chief Information Officer responsibilities under FISMA and serving as the Chief Information Officer’s primary liaison to the agency’s authorizing officials, information system owners, and information system security officers.</br>Note: Organizations subordinate to federal agencies may use the term Senior Information Security Officer or Chief Information Security Officer to denote individuals filling positions with similar responsibilities to Senior Agency Information Security Officers.

Senior Information Security Officer

See Senior Agency Information Security Officer.

Subsystem

A major subdivision or component of an information system consisting of information, information technology, and personnel that performs one or more specific functions.

System

See Information System.

System Security Plan [NIST SP 800-18]

Formal document that provides an overview of the security requirements for an information system and describes the security controls in place or planned for meeting those requirements.

System-Specific Security Control

A security control for an information system that has not been designated as a common security control or the portion of a hybrid control that is to be implemented within an information system.

Tailored Security Control Baseline

A set of security controls resulting from the application of tailoring guidance to the security control baseline. See Tailoring.

Tailoring

The process by which a security control baseline is modified based on: (i) the application of scoping guidance; (ii) the specification of compensating security controls, if needed; and (iii) the specification of organization-defined parameters in the security controls via explicit assignment and selection statements.

Technical Controls [FIPS 200]

The security controls (i.e., safeguards or countermeasures) for an information system that are primarily implemented and executed by the information system through mechanisms contained in the hardware, software, or firmware components of the system.

Threat [CNSSI 4009, Adapted]

Any circumstance or event with the potential to adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, or the Nation through an information system via unauthorized access, destruction, disclosure, modification of information, and/or denial of service.

Threat Source [FIPS 200]

The intent and method targeted at the intentional exploitation of a vulnerability or a situation and method that may accidentally trigger a vulnerability. Synonymous with threat agent.

Vulnerability [CNSSI 4009]

Weakness in an information system, system security procedures, internal controls, or implementation that could be exploited or triggered by a threat source.

Vulnerability Assessment [CNSSI 4009]

Formal description and evaluation of the vulnerabilities in an information system.

Sources

• NIST SP 800-37 Rev. 1 DRAFT Guide for Applying the Risk Management Framework to Federal Information Systems: A Security Life Cycle Approach