NIST SP 800-171 Rev 3 Controls Checklist

Organization: [Your Organization Name] System Name: [System Name] Assessment Date: [Date] Assessor: [Name/Title]

Instructions

For each control, mark the implementation status: - [x] Implemented -- Fully meets the requirement with documented evidence - [~] Partially Implemented -- Some aspects met; gaps documented in POA&M - [ ] Not Implemented -- Not addressed; documented in POA&M - [N/A] Not Applicable -- Requirement does not apply (justification required)

Record the evidence reference (policy document, configuration screenshot, tool output) for each implemented control.

1. Access Control (AC) -- 22 Requirements

Req ID	Requirement	Status
03.01.01	Limit system access to authorized users, processes acting on behalf of authorized users, and devices	[ ]
03.01.02	Limit system access to the types of transactions and functions that authorized users are permitted to execute	[ ]
03.01.03	Control the flow of CUI in accordance with approved authorizations	[ ]
03.01.04	Separate the duties of individuals to reduce the risk of malevolent activity	[ ]
03.01.05	Employ the principle of least privilege, including for specific security functions and privileged accounts	[ ]
03.01.06	Use non-privileged accounts or roles when accessing nonsecurity functions	[ ]
03.01.07	Prevent non-privileged users from executing privileged functions	[ ]
03.01.08	Limit unsuccessful logon attempts	[ ]
03.01.09	Provide privacy and security notices consistent with applicable CUI rules	[ ]
03.01.10	Use session lock with pattern-hiding displays to prevent access and viewing of data after a period of inactivity	[ ]
03.01.11	Terminate (automatically) user sessions after a defined condition	[ ]
03.01.12	Monitor and control remote access sessions	[ ]
03.01.13	Employ cryptographic mechanisms to protect the confidentiality of remote access sessions	[ ]
03.01.14	Route remote access via managed access control points	[ ]
03.01.15	Authorize remote execution of privileged commands and remote access to security-relevant information	[ ]
03.01.16	Authorize wireless access prior to allowing such connections	[ ]
03.01.17	Protect wireless access using authentication and encryption	[ ]
03.01.18	Control connection of mobile devices	[ ]
03.01.19	Encrypt CUI on mobile devices and mobile computing platforms	[ ]
03.01.20	Verify and control/limit connections to and use of external systems	[ ]
03.01.21	Limit use of portable storage devices on external systems	[ ]
03.01.22	Control CUI posted or processed on publicly accessible systems	[ ]

2. Awareness and Training (AT) -- 3 Requirements

Req ID	Requirement	Status
03.02.01	Ensure that managers, systems administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems	[ ]
03.02.02	Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities	[ ]
03.02.03	Provide security awareness training on recognizing and reporting potential indicators of insider threat	[ ]

3. Audit and Accountability (AU) -- 9 Requirements

Req ID	Requirement	Status
03.03.01	Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity	[ ]
03.03.02	Ensure that the actions of individual system users can be uniquely traced to those users	[ ]
03.03.03	Review and update logged events	[ ]
03.03.04	Alert in the event of an audit logging process failure	[ ]
03.03.05	Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity	[ ]
03.03.06	Provide audit record reduction and report generation to support on-demand analysis and reporting	[ ]
03.03.07	Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records	[ ]
03.03.08	Protect audit information and audit logging tools from unauthorized access, modification, and deletion	[ ]
03.03.09	Limit management of audit logging functionality to a subset of privileged users	[ ]

4. Assessment, Authorization, and Monitoring (CA) -- 4 Requirements

Req ID	Requirement	Status
03.04.01	Periodically assess the security controls in organizational systems to determine if the controls are effective in their application	[ ]
03.04.02	Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems	[ ]
03.04.03	Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls	[ ]
03.04.04	Develop, document, and periodically update system security plans that describe system boundaries, system environments of operation, how security requirements are implemented, and the relationships with or connections to other systems	[ ]

5. Configuration Management (CM) -- 9 Requirements

Req ID	Requirement	Status
03.05.01	Establish and maintain baseline configurations and inventories of organizational systems throughout the respective system development life cycles	[ ]
03.05.02	Establish and enforce security configuration settings for information technology products employed in organizational systems	[ ]
03.05.03	Track, review, approve or disapprove, and log changes to organizational systems	[ ]
03.05.04	Analyze the security impact of changes prior to implementation	[ ]
03.05.05	Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems	[ ]
03.05.06	Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities	[ ]
03.05.07	Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services	[ ]
03.05.08	Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software	[ ]
03.05.09	Control and monitor user-installed software	[ ]

6. Identification and Authentication (IA) -- 12 Requirements

Req ID	Requirement	Status
03.06.01	Identify system users, processes acting on behalf of users, and devices	[ ]
03.06.02	Authenticate (or verify) the identities of users, processes, or devices, as a prerequisite to allowing access to organizational systems	[ ]
03.06.03	Use multi-factor authentication for local and network access to privileged accounts and for network access to non-privileged accounts	[ ]
03.06.04	Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts	[ ]
03.06.05	Prevent reuse of identifiers for a defined period	[ ]
03.06.06	Disable identifiers after a defined period of inactivity	[ ]
03.06.07	Enforce a minimum password complexity and change of characters when new passwords are created	[ ]
03.06.08	Prohibit password reuse for a specified number of generations	[ ]
03.06.09	Allow temporary password use for system logons with an immediate change to a permanent password	[ ]
03.06.10	Store and transmit only cryptographically-protected passwords	[ ]
03.06.11	Obscure feedback of authentication information	[ ]
03.06.12	Authenticate devices before establishing connections	[ ]

7. Incident Response (IR) -- 6 Requirements

Req ID	Requirement	Status
03.07.01	Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities	[ ]
03.07.02	Track, document, and report incidents to designated officials and/or authorities	[ ]
03.07.03	Test the organizational incident response capability	[ ]
03.07.04	Handle and report incidents according to established procedures	[ ]
03.07.05	Manage the discovery and handling of information during incident response	[ ]
03.07.06	Implement mechanisms for incident communication with relevant stakeholders	[ ]

8. Maintenance (MA) -- 6 Requirements

Req ID	Requirement	Status
03.08.01	Perform maintenance on organizational systems	[ ]
03.08.02	Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance	[ ]
03.08.03	Ensure equipment removed for off-site maintenance is sanitized of any CUI	[ ]
03.08.04	Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems	[ ]
03.08.05	Require multi-factor authentication to establish nonlocal maintenance sessions and terminate such sessions when nonlocal maintenance is complete	[ ]
03.08.06	Supervise the maintenance activities of maintenance personnel without required access authorization	[ ]

9. Media Protection (MP) -- 7 Requirements

Req ID	Requirement	Status
03.09.01	Protect (control and account for) system media containing CUI during transport outside of controlled areas	[ ]
03.09.02	Limit access to CUI on system media to authorized users	[ ]
03.09.03	Sanitize or destroy system media containing CUI before disposal or release for reuse	[ ]
03.09.04	Mark media with necessary CUI markings and distribution limitations	[ ]
03.09.05	Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas	[ ]
03.09.06	Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards	[ ]
03.09.07	Control the use of removable media on system components	[ ]

10. Personnel Security (PS) -- 5 Requirements

Req ID	Requirement	Status
03.10.01	Screen individuals prior to authorizing access to organizational systems containing CUI	[ ]
03.10.02	Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers	[ ]
03.10.03	Implement personnel security requirements for third-party providers	[ ]
03.10.04	Monitor personnel compliance with security policies and procedures	[ ]
03.10.05	Require personnel to satisfy security criteria before being granted access to CUI	[ ]

11. Physical Protection (PE) -- 6 Requirements

Req ID	Requirement	Status
03.11.01	Limit physical access to organizational systems, equipment, and the respective operating environments to authorized individuals	[ ]
03.11.02	Protect and monitor the physical facility and support infrastructure for organizational systems	[ ]
03.11.03	Escort visitors and monitor visitor activity	[ ]
03.11.04	Maintain audit logs of physical access	[ ]
03.11.05	Control and manage physical access devices	[ ]
03.11.06	Enforce safeguarding measures for CUI at alternate work sites	[ ]

12. Planning (PL) -- 2 Requirements

Req ID	Requirement	Status	Evidence	Notes
03.12.01	Develop, document, periodically update, and implement security plans for organizational systems	[ ]
03.12.02	Define and document system security roles and responsibilities throughout the system development life cycle	[ ]

13. Program Management (PM) -- 2 Requirements

Req ID	Requirement	Status	Evidence	Notes
03.13.01	Develop and implement an insider threat program	[ ]
03.13.02	Establish a CUI program and designated a senior official to oversee and coordinate CUI protection	[ ]

14. Risk Assessment (RA) -- 4 Requirements

Req ID	Requirement	Status
03.14.01	Periodically assess the risk to organizational operations, organizational assets, and individuals resulting from the operation of organizational systems and the associated processing, storage, or transmission of CUI	[ ]
03.14.02	Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities are identified	[ ]
03.14.03	Remediate vulnerabilities in accordance with risk assessments	[ ]
03.14.04	Monitor and analyze vulnerability scanning results	[ ]

15. System and Communications Protection (SC) -- 13 Requirements

Req ID	Requirement	Status
03.15.01	Monitor, control, and protect communications at the external boundaries and key internal boundaries of organizational systems	[ ]
03.15.02	Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems	[ ]
03.15.03	Separate user functionality from system management functionality	[ ]
03.15.04	Prevent unauthorized and unintended information transfer via shared system resources	[ ]
03.15.05	Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks	[ ]
03.15.06	Deny network communications traffic by default and allow network communications traffic by exception	[ ]
03.15.07	Prevent remote devices from simultaneously establishing non-remote connections with organizational systems and communicating via some other connection to resources in external networks (split tunneling)	[ ]
03.15.08	Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI during transmission unless otherwise protected by alternative physical safeguards	[ ]
03.15.09	Terminate network connections associated with communications sessions at the end of the sessions or after a defined period of inactivity	[ ]
03.15.10	Establish and manage cryptographic keys for cryptography employed in organizational systems	[ ]
03.15.11	Employ FIPS-validated cryptography when used to protect the confidentiality of CUI	[ ]
03.15.12	Prohibit remote activation of collaborative computing devices and provide indication of devices in use to users present at the device	[ ]
03.15.13	Control and monitor the use of Voice over Internet Protocol (VoIP) technologies	[ ]

16. System and Information Integrity (SI) -- 7 Requirements

Req ID	Requirement	Status
03.16.01	Identify, report, and correct system flaws in a timely manner	[ ]
03.16.02	Provide protection from malicious code at designated locations within organizational systems	[ ]
03.16.03	Monitor system security alerts and advisories and take action in response	[ ]
03.16.04	Update malicious code protection mechanisms when new releases are available	[ ]
03.16.05	Perform periodic scans of organizational systems and real-time scans of files from external sources as files are downloaded, opened, or executed	[ ]
03.16.06	Monitor organizational systems, including inbound and outbound communications traffic, to detect attacks and indicators of potential attacks	[ ]
03.16.07	Identify unauthorized use of organizational systems	[ ]

17. Supply Chain Risk Management (SR) -- 3 Requirements

Req ID	Requirement	Status
03.17.01	Develop a plan for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of organizational systems, system components, and system services	[ ]
03.17.02	Identify, prioritize, and assess suppliers and supply chain partners of critical systems, system components, and system services	[ ]
03.17.03	Develop and implement strategies for managing supply chain risks	[ ]

Assessment Summary

Family	Total	Implemented	Partial	Not Implemented	N/A
Access Control	22
Awareness & Training	3
Audit & Accountability	9
Assessment & Monitoring	4
Configuration Mgmt	9
Identification & Auth	12
Incident Response	6
Maintenance	6
Media Protection	7
Personnel Security	5
Physical Protection	6
Planning	2
Program Management	2
Risk Assessment	4
System & Comms Protection	13
System & Info Integrity	7
Supply Chain Risk Mgmt	3
TOTAL	110

SPRS Score: _____ / 110

Checklist provided by Petronella Technology Group. For NIST 800-171 compliance assistance, contact 919-348-4912.

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