Attachment 2 - CIO 09-48 IT Security Procedural Guide Security and Privacy IT Acquisition Requirements.pdf

Office of the Chief Information Security Officer

Revision 6

April 15, 2021

IT Security Procedural Guide:

Security and Privacy Requirements for IT Acquisition Efforts

CIO-IT Security-09-48

DocuSign Envelope ID: 9D69A644-AC81-4C2A-B568-05BB47791AE3

CIO-IT Security-09-48, Revision 6 Security and Privacy Requirements for IT Acquisition Efforts

U.S. General Services Administration

IMPORTANT!

This guide defines security and privacy requirements for GSA IT acquisition contracts involving externally hosted contractor information systems that do not connect to the GSA network;

information systems hosted in GSA facilities that directly connect to the GSA network; cloud information systems; or mobile applications. The security and privacy requirements are appropriately formatted to allow the respective security and privacy contract requirements to be placed in-line within a statement of work for each system type. Alternatively, this entire document can be incorporated into the statement of work or contract.

NOTE: Throughout this guide there are highlighted SELECT statements. The requirements office, in coordination with the contracting officer, will complete the selections prior to their incorporation into a contract or statement of work. See example below for the intended use of the SELECT statements.

The guide text states:

1. At the Moderate impact level and higher, the <SELECT: contractor or Government> is responsible for providing an independent Security Assessment/Risk Assessment in accordance with GSA IT Security Procedural Guide 06-30, “Managing Enterprise Cybersecurity Risk.”

The requirements office in coordination with the contracting officer would determine for the specific SOW/contract being prepared whether the contractor or the Government was responsible for the independent assessment and change the statement accordingly. For example, if the contractor is required to provide an independent assessment the statement would state:

1. At the Moderate impact level and higher, the contractor is responsible for providing an independent Security Assessment/Risk Assessment in accordance with GSA IT Security Procedural Guide 06-30, “Managing Enterprise Cybersecurity Risk.”

VERSION HISTORY/CHANGE RECORD

Change Number

Person Posting Change

Change Reason for Change Page

Number of Change

Revision 1 – November 6, 2009

1 Bo Berlas Minor Changes to GSA 800-53 R3 Control Tailoring workbook in Appendix A

GSA 800-53 Control Tailoring Workbook Update

Revision 2 – November 7, 2014

1 John Sitcharing/ Blanche Heard

Minor changes to verbiage regarding Penetration Testing

Update Penetration Testing verbiage

2 John Sitcharing/ Blanche Heard

CISO mandated change in Penetration Testing requirement/ naming conventions based on consolidation efforts

CISO Mandate Entire document

Revision 3 – February 2, 2017

1 Bo Berlas Added Essential Security controls to Section 2

Security Controls Update 9

2 Bo Berlas Added sections 3-5 Updated to Provide Requirements for Internal Systems, Cloud Systems, and Mobile Applications

22-55

Revision 4 – January 25, 2018

1 Bryon Feliksa/ John Klemens

Incorporated security references from MV 16-01 and additional references. Added a section on LiSaaS, Privacy controls, and updated Privacy and other sections to align with GSA policy and procedures.

Incorporate MV 16-01 and consolidate GSA Cybersecurity and Privacy Guidance.

Throughout

Revision 5 – April 15, 2021

1 Desai, Klemens, Speidel

Incorporated NDAA/FAR clauses that prohibit the acquisition from covered entities. Added information on coordinating NDAs with OGC and NDA templates.

Updated to reflect LiSaaS and External Information System Monitoring guides. Updated guidance regarding a number of controls and deliverables.

Incorporate requirements from the NDAA and FAR, coordination with OGC on NDAs, and updated GSA guidance.

Throughout

2 Berlas, Speidel, Desai, Klemens

Added section on Nonfederal System and Organizations, revised Internal Information Systems definition. Clarified the provision of deliverables.

Incorporate requirements from NIST SP 800-171, “Protecting Controlled Unclassified Information in Nonfederal Systems and Organizations”

Sections 1 and 7

Revision 6 – April 15, 2021

1 Dean Revisions include:

Updated to NIST SP 800-53, Revision 5 controls

Throughout

Change Number

Person Posting Change

Change Reason for Change Page

Number of Change

Revision 1 – November 6, 2009

Replaced Sensitive But Unclassified with Controlled Unclassified Information

Updated references

APPROVAL

IT Security Procedural Guide 09-48, “Security and Privacy Requirements for IT Acquisition Efforts,” Revision 6, is hereby approved for distribution.

X Bo Berlas

GSA Chief Information Security Officer

This guide will be available on the OCISO Webpage and GSA.gov when revised.

https://insite.gsa.gov/topics/information-technology/security-and-privacy/it-security/it-security-procedural-guides https://www.gsa.gov/about-us/organization/office-of-the-chief-information-officer/chief-information-security-officer-ciso/it-security-procedural-guides

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Table of Contents

1 Introduction

1.1 Scope

1.2 Purpose

2 External Information Systems – IT Security and Privacy Requirements

2.1 Required Policies and Regulations for GSA Contracts

2.2 GSA Security Compliance Requirements

2.3 Essential Security Controls

2.4 Assessment and Authorization (A&A) Activities

2.5 Reporting and Continuous Monitoring

2.6 GSA Privacy Requirements

2.7 Additional Stipulations

3 Internal Information Systems - IT Security and Privacy Requirements

3.1 Required Policies and Regulations for GSA Contracts

3.2 GSA Security Compliance Requirements

3.3 Essential Security Controls

3.4 Assessment and Authorization (A&A) Activities

3.5 Reporting and Continuous Monitoring

3.6 GSA Privacy Requirements

3.7 Additional Stipulations

4 Low Impact Software as a Service (LiSaaS) – IT Security and Privacy Requirements

4.1 Assessment of the System

4.2 Authorization of the System

4.3 Maintenance of ATO and Continuous Monitoring

4.4 Protection of Information

4.5 Data Ownership and Unrestricted Rights to Data

4.6 Personally Identifiable Information

4.7 Data Availability

4.8 Data Release

4.9 Confidentiality and Nondisclosure

4.10 Section 508 Compliance

4.11 Additional Stipulations

4.12 Terms of Service

4.13 References

5 Cloud Information Systems – IT Security and Privacy Requirements

5.1 Assessment and Authorization

5.2 Assessment of the System

5.3 Authorization of the System

5.4 Reporting and Continuous Monitoring

5.5 Personnel Security Requirements

5.6 Sensitive Information Storage

5.7 Protection of Information

5.7.1 Unrestricted Rights to Data

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5.7.2 Personally Identifiable Information

5.7.3 Data Availability

5.7.4 Data Release

5.8 Data Ownership

5.9 Confidentiality and Nondisclosure

5.10 GSA Non-Disclosure Agreement

5.11 Additional Stipulations

5.12 References

6 Mobile Application - IT Security and Privacy Requirements

6.1 General Mobile Application Guidelines

6.2 Mobile Device Security

6.3 Application Sources

6.4 Terms of Service (ToS)

6.5 GSA Privacy Requirements

6.6 GSA App Development, Assessment, Authorization and Deployment

6.7 Intellectual Property

6.8 Confidentiality and Nondisclosure

6.9 GSA Non-Disclosure Agreement

6.10 Personnel Security Requirements

6.11 Additional Stipulations

7 Nonfederal Systems and Organizations – IT Security and Privacy Requirements

7.1 Required Policies and Regulations for GSA Contracts

7.2 GSA Security Compliance Requirements

7.3 Security Assessment Activities and Required Documentation

7.4 Reporting and Continuous Monitoring

7.5 Privacy Assessment Activities and Required Documentation

7.6 Additional Stipulations

Appendix A: GSA Tailoring of NIST 800-53 Controls

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1 Introduction

The U.S. General Services Administration (GSA) must provide information security for the information systems that support the operations and assets of the agency, including those provided or managed by GSA, another agency, contractor, or other source. The Federal Information Security Modernization Act of 2014 (FISMA of 2014) describes Federal agency security and privacy responsibilities as including “information systems used or operated by an agency or by a contractor of an agency or other organization on behalf of an agency.” This includes services which are either fully or partially provided; including other agency hosted, outsourced, and cloud computing solutions. Agency information security programs apply to all organizations (sources) which possess or use Federal information – or which operate, use, or have access to Federal information systems (whether automated or manual) – on behalf of a Federal agency, information systems used or operated by an agency or other organization on behalf of an agency. Not all deliverables contain Controlled Unclassified Information (CUI). The contractor has the responsibility for evaluating, categorizing, and marking CUI. When in question, the contractor should use the National Archives and Records Administration (NARA) CUI Registry to help determine the appropriate category, and designation for marking.

1.1 Scope

This guide provides security and privacy requirements for the GSA information system types outlined below:

External Information Systems. External information systems reside in contractor facilities and typically do not connect to the GSA network. External information systems may be government owned and contractor operated or contractor owned and operated on behalf of GSA or the Federal Government (when GSA is the managing agency).

Internal Information Systems. Internal information systems reside on premise in GSA facilities and may connect to the GSA network. Internal systems are operated on behalf of GSA or the Federal Government (when GSA is the managing agency).

Low Impact Software as a Service (LiSaaS) Systems. LiSaaS systems must adhere to GSA IT Security Procedural Guide 16-75, “Low Impact Software as a Service (SaaS) Authorization Process.” LiSaaS systems are cloud applications that are implemented for a limited duration, involve low or very low/negligible risk and would cause limited harm to GSA, and cost less than $100,000 annually to deploy.

Cloud Information Systems. Includes Infrastructure as a Service (IaaS), Platform as a Service (PaaS), or SaaS. The service offering must be FedRAMP authorized, in-process, or ready; see Section 5 for additional details.

Mobile Application. A mobile application, most commonly referred to as an app, is a type of application software designed to run on a mobile device, such as a smartphone or tablet computer.

Nonfederal Systems and Organizations. A system or organization: (1) when Controlled Unclassified Information (CUI) is resident in a nonfederal system and organization; (2) not collecting or maintaining information on behalf of a federal agency or using or

U.S. General Services Administration 2 operating a system on behalf of an agency1; and (3) where there are no specific safeguarding requirements for protecting the confidentiality of CUI prescribed by the authorizing law, regulation, or governmentwide policy for the CUI category listed in the CUI Registry.

1.2 Purpose

The purpose of this document is to define and establish consistent security and privacy requirements for GSA IT acquisition contracts involving externally hosted information systems that do not connect to the GSA network; information systems hosted in GSA facilities that may connect to the GSA network; LiSaaS systems, cloud information systems; mobile applications;

and nonfederal systems with CUI. The security and privacy requirements are appropriately formatted to allow the respective security and privacy contract language to be placed in-line within a statement of work for each system type. The security and privacy requirements identified in this guide will ensure compliance with the appropriate provisions of FISMA of 2014, OMB Circular A-130, and NIST Special Publication (SP) 800-53, Revision 5.

2 External Information Systems – IT Security and Privacy Requirements

2.1 Required Policies and Regulations for GSA Contracts

Federal Laws, Regulations, and Guidance:

The contractor shall comply with all applicable Federal Laws and Regulations.

40 U.S.C. 11331, “Responsibilities for Federal Information Systems Standards”

Executive Order (EO) 13556, “Controlled Unclassified Information”

FISMA of 2014, “The Federal Information Security Modernization Act of 2014”

HSPD 12, “Homeland Security Presidential Directive 12 – Policy for a Common Identification Standard for Federal Employees and Contractors”

OMB Circular A-130, “Managing Information as a Strategic Resource”

OMB M-08-23, “Securing the Federal Government’s Domain Name System Infrastructure (Submission of Draft Agency Plans Due by September 5, 2008)”

OMB M 14-03, “Enhancing the Security of Federal Information and Information Systems”

OMB M-10-23, “Guidance for Agency Use of Third-Party Websites and Applications”

OMB M-15-13, “Policy to Require Secure Connections across Federal Websites and Web Services”

OMB M-17-12, “Preparing for and Responding to a Breach of Personally Identifiable Information”

Privacy Act of 1974, “5 USC, § 552a”

National Archives and Records Administration (NARA) Controlled Unclassified Information (CUI) Registry

1 Nonfederal organizations that collect or maintain information on behalf of a federal agency or that use or operate a system on behalf of an agency, must comply with the requirements in FISMA of 2014, including the requirements in FIPS 200 and the security controls in NIST SP 800-53. (See [44 USC 3554] (a)(1)(A) and Section 2.1 for referenced documents).

DocuSign Envelope ID: 9D69A644-AC81-4C2A-B568-05BB47791AE3 https://www.gpo.gov/fdsys/pkg/USCODE-2009-title40/pdf/USCODE-2009-title40-subtitleIII-chap113-subchapIII-sec11331.pdf https://www.federalregister.gov/documents/2010/11/09/2010-28360/controlled-unclassified-information https://www.congress.gov/113/plaws/publ283/PLAW-113publ283.pdf https://www.dhs.gov/homeland-security-presidential-directive-12 https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A130/a130revised.pdf https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2008/m08-23.pdf https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2014/m-14-03.pdf https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2010/m10-23.pdf https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2015/m-15-13.pdf https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/memoranda/2017/m-17-12_0.pdf https://www.justice.gov/opcl/privacy-act-1974 https://www.archives.gov/cui https://www.archives.gov/cui https://www.govinfo.gov/content/pkg/USCODE-2017-title44/html/USCODE-2017-title44-chap35-subchapII-sec3554.htm

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OMB Memoranda, location of current fiscal year guidance on Federal Information Security and Privacy Management Requirements, including FISMA reporting

Federal Standards and Guidance:

The contractor shall comply with all applicable Federal Information Processing Standards (FIPS).

NIST Special Publications (800 Series) are guidance, unless required by a FIPS publication, in which case usage is mandatory.

FIPS PUB 199, “Standards for Security Categorization of Federal Information and Information Systems”

FIPS PUB 200, “Minimum Security Requirements for Federal Information and Information Systems”

FIPS PUB 140-22, “Security Requirements for Cryptographic Modules”

FIPS PUB 140-3, “Security Requirements for Cryptographic Modules”

NIST SP 800-18, Revision 1, “Guide for Developing Security Plans for Federal Information Systems”

NIST SP 800-30, Revision 1, “Guide for Conducting Risk Assessments”

NIST SP 800-34, Revision 1, “Contingency Planning Guide for Federal Information Systems”

NIST SP 800-37, Revision 2, “Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy”

NIST SP 800-47, “Security Guide for Interconnecting Information Technology Systems”

NIST SP 800-53, Revision 5, “Security and Privacy Controls for Information Systems and Organizations”

NIST SP 800-53A, Revision 43, “Assessing Security and Privacy Controls in Federal Information Systems and Organizations: Building Effective Assessment Plans”

NIST SP 800-63-3, “Digital Identity Guidelines”

NIST SP 800-122, “Guide to Protecting the Confidentiality of Personally Identifiable Information (PII)”

NIST SP 800-137, “Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations”

NIST SP 800-161, “Supply Chain Risk Management Practices for Federal Information Systems and Organizations”

GSA Policies:

The contractor shall comply with the following GSA Directives/Policies.

GSA Order CIO 1878.3, “Developing and Maintaining Privacy Threshold Assessments, Privacy Impact Assessments, Privacy Act Notices, and System of Records Notices”

2 NIST has issued FIPS 140-3, FIPS 140-2 modules are still being validated and will be accepted through September 22, 2026. For additional information see the NIST cryptographic module validation program webpage.

3 When NIST SP 800-53A, Revision 5 is final, assessments shall be aligned to it.

https://www.whitehouse.gov/omb/information-for-agencies/memoranda https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.199.pdf https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.200.pdf https://nvlpubs.nist.gov/nistpubs/FIPS/NIST.FIPS.140-2.pdf https://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublication800-18r1.pdf https://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublication800-30r1.pdf https://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublication800-34r1.pdf https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-37r2.pdf https://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublication800-47.pdf https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53r5.pdf https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-53Ar4.pdf https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-63-3.pdf https://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublication800-122.pdf https://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublication800-137.pdf https://nvlpubs.nist.gov/nistpubs/SpecialPublications/NIST.SP.800-161.pdf https://www.gsa.gov/directives-library/ https://csrc.nist.gov/projects/cryptographic-module-validation-program

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GSA Order CIO 2100.1, “GSA Information Technology (IT) Security Policy”

GSA Order CIO 2200.1, “GSA Privacy Act Program”

GSA Order CIO 9297.2, “GSA Information Breach Notification Policy”

The GSA policies listed in this paragraph must be followed, if applicable.

GSA Order CIO 2103.1, “Controlled Unclassified Information (CUI) Policy”

GSA Order CIO 2104.1, “GSA Information Technology (IT) General Rules of Behavior”

GSA Order CIO 2182.2, “Mandatory Use of Personal Identity Verification (PIV) Credentials”

GSA Procedural Guides:

GSA IT Procedural Guides are guidance, unless required by a GSA Directive/Policy, in which case usage is mandatory.

Note: GSA’s Procedural Guides are updated frequently; to make sure you have the most recent version of publicly available procedural guides, visit GSA.gov. If a non-publicly available guide is needed, contact the contracting officer who will coordinate with the GSA Office of the Chief Information Security Officer to determine if it can be made available.

2.2 GSA Security Compliance Requirements

FIPS PUB 200, “Minimum Security Requirements for Federal Information and Information Systems,” is a mandatory federal standard that defines the minimum security requirements for federal information and information systems in seventeen security-related areas. Information systems supporting GSA must meet the minimum security and privacy requirements through the use of security controls in accordance with NIST Special Publication 800-53, Revision 5 (hereafter described as NIST 800-53), “Security and Privacy Controls for Information Systems and Organizations.”

To comply with the Federal standard, GSA must determine the security category of the information and information system in accordance with FIPS PUB 199, “Standards for Security Categorization of Federal Information and Information Systems,” and then the contractor shall apply the appropriately tailored set of Low, Moderate, or High impact baseline security controls in NIST 800-53, as determined by GSA. NIST 800-53 controls requiring organization-defined parameters (i.e., password change frequency) shall be consistent with GSA specifications. The GSA-specified control parameters and supplemental guidance defining more specifically the requirements per FIPS PUB 199 impact level are available in the GSA Control Tailoring Workbook referenced in Appendix A of this document.

The Contractor shall use GSA technical guidelines, NIST guidelines, Center for Internet Security (CIS) guidelines (Level 1), or industry best practice guidelines in hardening their systems.

DocuSign Envelope ID: 9D69A644-AC81-4C2A-B568-05BB47791AE3 https://www.gsa.gov/directives-library/ https://www.gsa.gov/directives-library/ https://www.gsa.gov/directives-library/ https://www.gsa.gov/directives-library/ https://www.gsa.gov/directives-library/ https://www.gsa.gov/about-us/organization/office-of-the-chief-information-officer/chief-information-security-officer-ciso/it-security-procedural-guides

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2.3 Essential Security Controls

All NIST 800-53 controls must be implemented as per the applicable FIPS PUB 199 Low, Moderate, or High baseline. The following table identifies essential security controls from the respective baselines to highlight their importance and ensure they are implemented. The Contractor shall make the proposed system and security architecture of the information system available to the Security Engineering Division, in the Office of the Chief Information Security Officer for review and approval before commencement of system build (architecture, infrastructure, and code).

Control ID Control Title Baseline GSA Implementation Guidance (if applicable)

AC-2

Account Management

L, M, H

AC-17 (3)

Remote Access | Managed Access Control Points

M, H

All remote accesses from internal users/systems to the external information system must be routed through GSA’s managed network access control points, subjecting them to security monitoring.

AU-2 Event Logging L, M, H

Information systems shall implement audit configuration requirements as documented in applicable GSA IT Security Technical Hardening Guides (i.e., hardening and technology implementation guides); for web applications see GSA IT Security Procedural Guide 07-35, Section 2.8.10, What to Log.

For technologies where a Technical Guide and Standard does not exist, events from an industry source such as vendor guidance or Center for Internet Security benchmark, recommended by the GSA S/SO or Contractor to be approved and accepted by the GSA AO shall be used.

CM-6

Configuration Settings

L, M, H

Information systems, including vendor owned/operated systems on behalf of GSA, shall configure their systems in agreement with GSA technical guidelines, NIST guidelines, Center for Internet Security guidelines (Level 1), or industry best practice guidelines, as reviewed and accepted by the GSA

AO.

CP-7

Alternate Processing Site

M, H

FIPS PUB 199 Moderate and High impact systems must implement processing across geographically-disparate locations to ensure fault tolerance. Cloud Infrastructure as a Service (IaaS) architectures shall implement a multi-region strategy (multiple availability zones in a single region are not sufficient).

CP-8

Telecommunications Services

M, H

FIP PUB 199 Moderate and High impact information systems must implement alternate telecom services to support resumption when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

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Control ID Control Title Baseline GSA Implementation Guidance (if applicable)

IA-2 (1)

Identification and Authentication (Organizational Users) | Multifactor Authentication to Privileged Accounts

L, M, H

All information systems shall implement multi-factor authentication for privileged accounts.

IA-2 (2)

Identification and Authentication (Organizational Users) | Multifactor Authentication to Non-Privileged Accounts

L, M, H

All information systems must implement multi-factor authentication for non-privileged accounts.

IA-7

Cryptographic Module Authentication

L, M, H

The information system shall implement FIPS PUB 140-2 compliant encryption modules for authentication functions.

Reference:

Cryptographic Module Validation Program Validated Modules

MP-4 Media Storage M, H

Digital media including magnetic tapes, external/removable hard drives, flash/thumb drives, diskettes, compact disks and digital video disks shall be encrypted using a FIPS PUB 140-2 certified encryption module.

MP-5 Media Transport M, H

Digital media including magnetic tapes, external/removable hard drives, flash/thumb drives and digital video disks shall be encrypted using a FIPS PUB 140-2 certified encryption module during transport outside of controlled areas.

PL-8

Security and Privacy Architectures

L, M, H

All information system security architectures must be formally reviewed and approved by the Office of the Chief Information Security Officer, Security Engineering Division during the system develop/design stages of the SDLC and prior to Security Assessment and Authorization.

RA-5

Vulnerability Monitoring and Scanning

L, M, H

All systems must complete the following vulnerability scans:

o Weekly authenticated scans of operating systems (OS)-including databases o Monthly unauthenticated scans of web applications o Annual authenticated scans of web applications The most recent vulnerability scanning results shall be provided to GSA together with the quarterly POA&M submission.

SA-22

Unsupported System Components

L, M, H

All systems must be comprised of software and hardware components that are fully supported in terms of security patching for the anticipated life of the system; software must be on GSA’s Enterprise Architecture IT Standards List.

https://csrc.nist.gov/Projects/Cryptographic-Module-Validation-Program/Validated-Modules

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Control ID Control Title Baseline GSA Implementation Guidance (if applicable)

SC-8 / SC-

8(1)

Transmission Confidentiality and Integrity

Transmission Confidentiality and Integrity | Cryptographic Protection

M, H

Implemented encryption algorithms and cryptographic modules shall be FIPS-approved and FIPS PUB 140-2 validated, respectively.

o Digital signature encryption algorithms o Block cypher encryption algorithms o Secure hashing algorithms

For web services connections, implement end to end encryption terminating the connection at the web server;

connections terminated at a load balancer shall employ re-encryption techniques to ensure end to end encryption.

Internet accessible Websites shall implement HTTPS Only with HTTP Strict Transport Security (HSTS), have no weak ciphers, have no weak protocols, and preload .gov domains. (see Binding Operational Directive (BOD) 18-01, Enhance Email and Web Security).

SSL/TLS implementations shall align with GSA IT Security Procedural Guide 14-69, “SSL/TLS Implementation.”

SC-13

Cryptographic Protection

L, M, H

Implemented encryption algorithms and cryptographic modules shall be FIPS-approved and FIPS PUB 140-2 validated, respectively.

o Digital signature encryption algorithms o Block cypher encryption algorithms o Secure hashing algorithms

SC-17

Public Key Infrastructure Certificates

M, H

Implement appropriate creation, use, and signing of crypto certs in agreement with GSA IT Security Procedural Guide 14- 69, “SSL/TLS Implementation,” and NIST Special Publications 800-52, Revision 2 and 1800-16.

SC-18 Mobile Code M, H

SC-22

Architecture and Provisioning for Name / Address Resolution Service

L, M, H

Information systems shall be Domain Name System Security Extensions (DNSSEC) compliant. Reference OMB Memorandum M-08-23, which requires all Federal Government departments and agencies that have registered and are operating second level .gov to be DNSSEC.

DocuSign Envelope ID: 9D69A644-AC81-4C2A-B568-05BB47791AE3 https://csrc.nist.gov/Projects/cryptographic-algorithm-validation-program/digital-signatures https://csrc.nist.gov/Projects/Cryptographic-Algorithm-Validation-Program/Block-Ciphers https://csrc.nist.gov/Projects/Cryptographic-Algorithm-Validation-Program/Secure-Hashing https://https.cio.gov/hsts/ https://cyber.dhs.gov/bod/18-01/ https://csrc.nist.gov/Projects/cryptographic-algorithm-validation-program/digital-signatures https://csrc.nist.gov/Projects/Cryptographic-Algorithm-Validation-Program/Block-Ciphers https://csrc.nist.gov/Projects/Cryptographic-Algorithm-Validation-Program/Secure-Hashing

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Control ID Control Title Baseline GSA Implementation Guidance (if applicable)

SC-28 (1)

Protection of Information at Rest | Cryptographic Protection

L, M, H

**Systems that process Personally Identifiable Information (PII), Payment Card Industry (PCI) data, Authenticators (e.g., passwords, tokens, keys, certificates, hashes, etc.), and other sensitive data as determined by the AO, shall encrypt that data everywhere (i.e., at file level, database level, at rest, and in transit (see SC-8(1)). For databases, encryption of the whole database, table, column, or field levels is acceptable, as appropriate. Other methods including, but not limited to, application encryption or tokenization is also acceptable.

For web services connections, implement end to end encryption terminating the connection at the web server;

connections terminated at a load balancer shall employ re-encryption techniques to ensure end to end encryption.** Encryption algorithms shall be FIPS-approved with FIPS-validated encryption modules.

SI-2 Flaw Remediation L, M, H

All projects and systems must be adequately tested for flaws;

all Critical, High, and Moderate risk findings must be remediated prior to go-live. Post go-live, critical/very high vulnerabilities for Internet-accessible IP addresses must be remediated within 15 days, for all other assets critical/very high vulnerabilities must be remediated within 30 days; High vulnerabilities must be remediated within 30 days; Moderate vulnerabilities must be remediated within 90 days.

SI-3

Malicious Code Protection

L, M, H

SI-4 System Monitoring L, M, H

SI-10

Information Input Validation

M, H

All systems accepting input from end users must validate the input in accordance with industry best practices and published guidelines, including GSA IT Security Procedural Guide 07-35, “Web Application Security,” and OWASP Top 10 Web Application Security Vulnerabilities.

SR-2

Supply Chain Risk Management Plan

L, M, H Tier 3 (Information System) level plans for each system should be developed consistent with the template in Appendix E of

NIST SP 800-161

SR-6

Supplier Assessment and Reviews

M, H

PM-21

Accounting of Disclosures

See note below

Requires accounting of disclosures of PII.

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Control ID Control Title Baseline GSA Implementation Guidance (if applicable)

PM-25

Minimization of Personally Identifiable Information Used in Testing, Training, and Research

See note below

Requires implementation of policies and procedures to minimize PII used in testing, training, and research.

PT-5 Privacy Notice See note below

Privacy notices help inform individuals about how their personally identifiable information is being processed by the system or organization

PT-5 (2)

Privacy Notice | Privacy Act Statements

See note below

Include Privacy Act statements on forms that collect information that will be maintained in a Privacy Act system of records, or provide Privacy Act statements on separate forms that can be retained by individuals.

PT-6

System of Records Notice

See note below

Federal agencies must publish a system of records notice in the Federal Register upon the establishment and/or modification of a Privacy Act system of record

PT-7 (1)

Specific Categories of Personally Identifiable Information | Social Security Numbers

See note below

Federal law and policy establish specific requirements for organizations’ processing of Social Security numbers;

organizations take steps to eliminate unnecessary uses of Social Security numbers and other sensitive information, and observe any particular requirements that apply.

RA-8

Privacy Impact Assessments

See note below

Conduct privacy impact assessments for systems, programs, or other activities before developing or procuring information technology that will process PII or before initiating a new collection of PII

SI-12 (1)

Information Management and Retention | Limit Personally Identifiable Information Elements

See note below

Limit personally identifiable information being processed in the information life cycle to specified elements.

Note: Privacy controls are not associated with a baseline. Controls are applicable/not applicable based on PII data being collected, stored, or transmitted.

2.4 Assessment and Authorization (A&A) Activities

The implementation of a new Federal Government IT system requires a formal approval process known as Assessment and Authorization (A&A). NIST Special Publication 800-37, Revision 2 (hereafter described as NIST 800-37) and GSA IT Security Procedural Guide 06-30, “Managing Enterprise Cybersecurity Risk,” provide guidelines for performing the A&A process.

The Contractor system/application must have a valid assessment and authorization, known as

U.S. General Services Administration 10 an Authorization to Operate (ATO) (signed by the Federal government) before going into operation and processing GSA information. The failure to obtain and maintain a valid ATO will result in the termination of the contract. The system must have a new A&A conducted (signed by the Federal government) when significant changes are made to the system, and as specified in GSA IT Security Procedural Guide 06-30, “Managing Enterprise Cybersecurity Risk,” and the guides for GSA’s other A&A processes referenced therein.

Assessing the System

1. The Contractor shall comply with Assessment and Authorization (A&A) requirements as mandated by Federal laws and policies, including making available any documentation, physical access, and logical access needed to support this requirement. The Level of Effort for the A&A is based on the System’s NIST Federal Information Processing Standard (FIPS) Publication 199 categorization. Documents that contain CUI must be marked as such. Not all deliverables contain CUI. When in question, the contractor should use the NARA CUI Registry to help determine the appropriate designation for marking, handling or transmitting. The contractor shall create, maintain and update the following A&A documentation:

System Security and Privacy Plan (SSPP) completed in agreement with NIST Special Publication 800-18, Revision 1, “Guide for Developing Security Plans for Federal Information Systems” and completed in accordance with GSA SSPP requirements and templates. The SSPP shall include as appendices required policies and procedures across 19 control families mandated per FIPS PUB 200, Rules of Behavior, and Interconnection Security Agreements (in agreement with NIST Special Publication 800-47, “Security Guide for Interconnecting Information Technology Systems”). The SSPP shall include; as an appendix, a completed GSA Control Tailoring Workbook (CTW) identified in Appendix A of this guide. The column in the CTW titled “Vendor/Contractor Defined Values” shall be used to document all contractor implemented parameter settings that differ from the GSA Defined Value and the Vendor/Contractor defined value when the value is deferred to the Vendor/Contractor. GSA’s approval will be documented in the CTW column titled “GSA Approval of Vendor/Contractor Defined Values.”

Contingency Plan completed in agreement with NIST Special Publication 800-34 and GSA IT Security Procedural Guide 06-29, “Contingency Planning.”

Business Impact Assessment completed in agreement with NIST Special Publication 800-34 and GSA IT Security Procedural Guide 06-29, “Contingency Planning.”

Contingency Plan Test Report completed in agreement with GSA IT Security Procedural Guide 06-29, “Contingency Planning.”

Incident Response Plan completed in agreement with NIST Special Publication 800-61, “Computer Security Incident Handling Guide” and GSA IT Security Procedural Guide 01-02, “Incident Response.”

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Incident Response Test Report completed in agreement NIST Special Publication 800-61, “Computer Security Incident Handling Guide” and GSA IT Security Procedural Guide 01-02, “Incident Response.”

Configuration Management Plan completed in agreement with GSA IT Security Procedural Guide 01-05, “Configuration Management.”

Plan of Action & Milestones completed in agreement with GSA IT Security Procedural Guide 09-44, “Plan of Action and Milestones (POA&M).”

Penetration Test Reports documenting the results of vulnerability analysis and exploitability of identified vulnerabilities. Note: Penetration testing is required for all Internet accessible, all FIPS 199 High, and all High Value Asset (HVA) information systems. These systems are required to complete an independent penetration test and provide an Independent Penetration Test Report documenting the results of the exercise as part of the A&A package. Reference GSA IT Security Procedural Guide 06-30, “Managing Enterprise Cybersecurity Risk” and GSA IT Security Procedural Guide 11-51, “Conducting Penetration Test Exercises” for penetration testing guidance.

2. Information systems must be assessed and authorized every three (3) years or whenever there is a significant change to the system's security posture in accordance with NIST Special Publication 800-37, Revision 2, " Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy," and CIO IT Security 06-30, "Managing Enterprise Cybersecurity Risk" or via continuous monitoring based on GSA CIO IT Security 12-66, "Information Security Continuous Monitoring (ISCM) Strategy & Ongoing Authorization (OA) Program" that is reviewed and accepted by the GSA CISO.

3. At the Moderate impact level and higher, the <SELECT: contractor or Government> is responsible for providing an independent Security Assessment/Risk Assessment in accordance with GSA IT Security Procedural Guide 06-30, “Managing Enterprise Cybersecurity Risk.”

4. If the Government is responsible for providing a Security Assessment/Risk Assessment and Penetration Test, the Contractor shall allow GSA employees (or GSA designated third party contractors) to conduct A&A activities to include control reviews in accordance with NIST 800-53/NIST 800-53A and GSA IT Security Procedural Guide 06-30, “Managing Enterprise Cybersecurity Risk.” Review activities include but are not limited to operating system vulnerability scanning, web application scanning, and database scanning of applicable systems that support the processing, transportation, storage, or security of GSA information. This includes the general support system infrastructure.

5. Identified gaps between required NIST 800-53 controls and the contractor’s implementation as documented in the Security Assessment/Risk Assessment report shall be tracked for mitigation in a Plan of Action and Milestones (POA&M) document completed in accordance with GSA IT Security Procedural Guide 09-44, “Plan of Action and Milestones (POA&M).” Depending on the severity of the gaps, the Government may require them to be remediated before an Authorization to Operate is issued.

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6. The Contractor is responsible for mitigating all security risks found during the A&A and continuous monitoring activities. Vulnerabilities must be mitigated as follows:

(1) For Internet-accessible IP addresses

(a) Any Critical (Very High) scan vulnerabilities must be remediated within 15 days.

(b) Any High scan vulnerabilities must be remediated within 30 days.

(c) Any Moderate scan vulnerabilities must be remediated within 90 days.

(2) For all other assets

(a) Any Critical (Very High) and High scan vulnerabilities must be remediated within 30 days.

(b) Any Moderate scan vulnerabilities must be remediated within 90 days.

7. The Government will determine the risk rating of vulnerabilities.

Authorization of the System

1. Upon receipt of the documentation (A&A Package) described in GSA IT Security Procedural Guide 06-30, “Managing Enterprise Cybersecurity Risk” and NIST Special Publication 800-37 as documented above, the GSA Authorizing Official (AO) for the system (in coordination with the GSA Chief Information Security Officer (CISO), System Owner, Information System Security Manager (ISSM), and Information System Security Officer (ISSO) will render an authorization decision to:

Authorize system operation w/out any restrictions or limitations on its operation;

Authorize system operation w/restriction or limitation on its operation, or;

Not authorize for operation.

2. The Contractor shall provide access to the Federal Government, or their designee acting as their agent, when requested, in order to verify compliance with the requirements for an Information Technology security program. At its option, the Government may choose to conduct on site surveys. The Contractor shall make appropriate personnel available for interviews and documentation during this review.

2.5 Reporting and Continuous Monitoring

Maintenance of the security authorization to operate will be through continuous monitoring of security controls of the external system and its environment of operation to determine if the security controls in the information system continue to be effective over time in light of changes that occur in the system and environment. Through continuous monitoring, security controls and supporting deliverables are updated and submitted to GSA per the schedules below. The submitted deliverables (or lack thereof) provide a current understanding of the security state and risk posture of the information systems. They allow GSA AOs to make credible risk-based decisions regarding the continued operations of the information systems and initiate appropriate responses as needed when changes occur.

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Vendor deliverables as identified below will be reviewed and accepted or rejected by the process described in GSA CIO IT Security Procedural Guide 19-101, “External Information System Monitoring.”

Deliverables to be provided Quarterly to the GSA ISSO, ISSM, and/or COR

1. Vulnerability Monitoring and Scanning Reference: NIST 800-53 control RA-5 Provide the most recent Web Application and Operating System vulnerability scan reports. GSA’s control parameter for RA-5, Vulnerability Monitoring and Scanning, specifies the following type and frequency of scans; weekly authenticated scans of operating systems (OS)-including databases, monthly unauthenticated scans of web applications, annual authenticated scans of web applications

2. Plan of Action & Milestones (POA&M) Update Reference: NIST 800-53 control CA-5 Provide POA&M updates in accordance with requirements and the schedule set forth in GSA CIO IT Security Procedural Guide 09-44, “Plan of Action and Milestones (POA&M).”

Deliverables to be provided Annually or when there is a major change to the GSA ISSO, ISSM, and/or COR

Note: Deliverables annotated with a “*” below may be attested to via an attestation letter as described in GSA CIO-IT Security-19-101, “External Information System Monitoring.”

1. Updated A&A documentation including the System Security and Privacy Plan, Contingency Plan, and Business Impact Analysis

a. System Security and Privacy Plan Reference: NIST 800-53 control PL-2 Review and update the System Security and Privacy Plan annually to ensure the plan is current and accurately describes implemented system controls and reflects changes to the contractor system and its environment of operation. The System Security and Privacy Plan must be in accordance with NIST 800-18, Revision 1, “Guide for Developing Security Plans for Federal Information Systems.”

b. Contingency Plan Reference: NIST 800-53 control CP-2 Provide an annual update to the contingency plan completed in accordance with NIST 800-34, “Contingency Planning Guide for Federal Information Systems”, and GSA IT Security Procedural Guide 06-29, “Contingency Planning.”

c. Business Impact Analysis Reference: NIST 800-53 control CP-2 Provide an annual update to the business impact analysis completed in accordance with NIST 800-34, “Contingency Planning Guide for Federal

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Information Systems”, and GSA IT Security Procedural Guide 06-29, “Contingency Planning.”

2. User Certification/Authorization Review Documents Reference: NIST 800-53 control AC-2 Provide the results of the annual review and validation of system users’ accounts to ensure the continued need for system access. The user certification and authorization documents will illustrate the organization establishes, activates, modifies, reviews, disables, and removes information system accounts in accordance with documented account management procedures.

3. *Separation of Duties Document/Matrix Reference: NIST 800-53 control AC-5 Develop and furnish a separation of duties matrix reflecting proper segregation of duties for IT system maintenance, management, and development processes. The separation of duties matrix will be updated or reviewed on an annual basis.

4. *Information Security Awareness and Training Records Reference: NIST 800-53 control AT-4 Provide the results of the literacy training and awareness (AT-2) and role-based information security technical training (AT-3). AT-2 requires basic security awareness training for employees and contractors that support the operation of the contractor system. AT-3 requires information security technical training to information system security roles. Training shall be consistent with the requirements contained in C.F.R. Part 5 Subpart C (5 C.F.R 930.301) and conducted at least annually.

5. Annual FISMA Self-Assessment Reference: NIST 800-53 control CA-2 Deliver the results of the annual FISMA self-assessment conducted per GSA IT Security Procedural Guide 04-26, “Federal Information Security Modernization Act (FISMA) Implementation.” Based on the controls selected for self-assessment, the GSA OCISO will provide the appropriate test cases for completion.

6. *System(s) Baseline Configuration Standard Document Reference: NIST 800-53 control CM-2 Provide a well-defined, documented, and up-to-date specification to which the information system is built.

7. System Configuration Settings Reference: NIST 800-53 control CM-6/CM-6(1) Establish and document mandatory configuration settings for information technology products employed within the information system that reflect the most restrictive mode consistent with operational requirements. Configuration settings are the configurable security-related parameters of information technology products that compose the information system. Systems should be configured in agreement with GSA technical guidelines, NIST guidelines, Center for Internet Security guidelines (Level 1), or industry best practice guidelines in hardening systems, as reviewed and accepted by the GSA AO.

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Provide the most recent operating system Configuration Settings Compliance scan report.

8. Configuration Management Plan Reference: NIST 800-53 control CM-9 Provide an annual update to the Configuration Management Plan for the information system.

9. Contingency Plan Test Report Reference: NIST 800-53 control CP-4 Provide a contingency plan test report completed in accordance with GSA IT Security Procedural Guide 06-29, “Contingency Planning.” A continuity test shall be conducted annually prior to mid-July of each year. The continuity test can be a tabletop test while the system is at the FIPS PUB 199 Low Impact level. The tabletop test must include Federal and hosting Contractor representatives. Functional exercises must be completed once every three years for FIPS PUB 199 Moderate impact systems and annually for FIPS PUB 199 High impact systems.

10. Incident Response Test Report Reference: NIST 800-53 control IR-3 Provide an incident response plan test report documenting results of incident reporting process per GSA IT Security Procedural Guide 01-02, “Incident Response.”

11. Information Exchanges (if applicable) Reference: NIST 800-53 control CA-3 Provide Interconnection Security Agreements (ISA) and supporting Memoranda of Agreement/Understanding (MOA/U), completed in accordance with NIST 800-47, “Security Guide for Connecting Information Technology Systems,” if there are existing or new interconnections. Per NIST 800-47, an interconnection is the direct connection of two or more IT systems for the purpose of sharing data and other information resources through a pipe, such as ISDN, T1, T3, DS3, VPN, etc. ISAs shall be submitted as appendices as part of the annual System Security and Privacy Plan submission. ISAs shall include, if applicable, any changes since the last submission; updated ISAs are required at least every three years.

12. *Rules of Behavior Reference: NIST 800-53 control PL-4 Define and establish Rules of Behavior for information system users. Rules of Behavior shall be submitted as an appendix to the System Security and Privacy Plan.

13. Penetration Testing Report Reference: NIST 800-53 control CA-8 All Internet accessible systems, and all FIPS PUB 199 High impact systems are required to complete an independent penetration test and provide a Penetration Test Report documenting the results of the exercise as part of their A&A package. Annual penetration tests are required for these same systems in accordance with GSA Order CIO 2100.1 and CIO-IT Security-11-51, “Conducting Penetration Test Exercises.”

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