NIST Special Publication 800-128

Guide for Security-Focused

Configuration Management of
Information Systems
Arnold Johnson
Kelley Dempsey
Ron Ross
Sarbari Gupta
Dennis Bailey

This publication is available free of charge from:

https://doi.org/10.6028/NIST.SP.800-128

I N F O R MATI O N S E C U R ITY
 NIST Special Publication 800-128

Guide for Security-Focused

Configuration Management of
Information Systems
Arnold Johnson
Kelley Dempsey
Ron Ross
Computer Security Division
Information Technology Laboratory

Sarbari Gupta
Dennis Bailey
Electrosoft Services, Inc.
Reston, VA

This publication is available free of charge from:

https://doi.org/10.6028/NIST.SP.800-128

August 2011
INCLUDES UPDATES AS OF 10-10-2019; SEE PAGE IV
 U.S. Department of Commerce
Wilbur L. Ross, Jr., Secretary

National Institute of Standards and Technology Walter Copan, NIST Director and Under
Secretary of Commerce for Standards and Technology

Authority
This publication has been developed by NIST to further its statutory responsibilities under the Federal
Information Security Modernization Act of 2014, 44 U.S.C. § 3551 et seq., Public Law (P.L.) 113-283.
NIST is responsible for developing information security standards and guidelines, including minimum
requirements for federal information systems, but such standards and guidelines shall not apply to
national security systems without the express approval of appropriate federal officials exercising policy
authority over such systems. This guideline is consistent with the requirements of the Office of
Management and Budget (OMB) Circular.

Nothing in this publication should be taken to contradict the standards and guidelines made mandatory
and binding on federal agencies by the Secretary of Commerce under statutory authority. Nor should these
guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce,
Director of the OMB, or any other federal official. This publication may be used by nongovernmental
organizations on a voluntary basis and is not subject to copyright in the United States. Attribution would,
however, be appreciated by NIST.

National Institute of Standards and Technology Special Publication 800-128

Natl. Inst. Stand. Technol. Spec. Publ. 800-128, 99 pages (August 2011)
CODEN: NSPUE2

This publication is available free of charge from:

https://doi.org/10.6028/NIST.SP.800-128

Certain commercial entities, equipment, or materials may be identified in this document in order to describe an
experimental procedure or concept adequately. Such identification is not intended to imply recommendation or
endorsement by NIST, nor is it intended to imply that the entities, materials, or equipment are necessarily the best
available for the purpose.
There may be references in this publication to other publications currently under development by NIST in accordance
with its assigned statutory responsibilities. The information in this publication, including concepts and methodologies,
may be used by federal agencies even before the completion of such companion publications. Thus, until each
publication is completed, current requirements, guidelines, and procedures, where they exist, remain operative. For
planning and transition purposes, federal agencies may wish to closely follow the development of these new
publications by NIST.
Organizations are encouraged to review all draft publications during public comment periods and provide feedback to
NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at
https://csrc.nist.gov/publications.
 Comments on this publication may be submitted to:
National Institute of Standards and Technology
Attn: Computer Security Division, Information Technology Laboratory
100 Bureau Drive (Mail Stop 8930) Gaithersburg, MD 20899-8930 Electronic
mail: sec-cert@nist.gov

All comments are subject to release under the Freedom of Information Act (FOIA).

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Reports on Computer Systems Technology

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology
(NIST) promotes the U.S. economy and public welfare by providing technical leadership for the nation’s
measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of
concept implementations, and technical analyses to advance the development and productive use of
information technology. ITL’s responsibilities include the development of management, administrative,
technical, and physical standards and guidelines for the cost-effective security and privacy of other than
national security-related information in federal information systems. The Special Publication 800-series
reports on ITL’s research, guidelines, and outreach efforts in information system security, and its
collaborative activities with industry, government, and academic organizations.

Abstract
Guide for Security-Focused Configuration Management of Information Systems provides guidelines for
organizations responsible for managing and administering the security of federal information systems and
associated environments of operation. Configuration management concepts and principles described in
this publication provide supporting information for NIST SP 800-53, Security and Privacy Controls for
Federal Information Systems and Organizations. NIST SP 800-128 assumes that information security is
an integral part of an organization’s overall configuration management. The focus of this document is on
implementation of the information system security aspects of configuration management, and as such the
term security-focused configuration management (SecCM) is used to emphasize the concentration on
information security. In addition to the fundamental concepts associated with SecCM, the process of
applying SecCM practices to information systems is described. The goal of SecCM activities is to manage
and monitor the configurations of information systems to achieve adequate security and minimize
organizational risk while supporting the desired business functionality and services.

Keywords
Configuration management; information systems; security program; risk management framework;
security-focused continuous monitoring; SecCM; control; monitoring; security content automation
protocol (SCAP).

Acknowledgments
The authors, Arnold Johnson, Kelley Dempsey, and Ron Ross of NIST, and Sarbari Gupta and Dennis
Bailey of Electrosoft, wish to thank their colleagues Murugiah Souppaya, Karen Scarfone, John Banghart,
David Waltermire, and Blair Heiserman of NIST who reviewed drafts of the document and provided
insightful recommendations. Nedim Goren and Jody Jacobs completed the errata update. A special note of
thanks goes to Peggy Himes and Elizabeth Lennon for their superb technical editing and administrative
support. We would also like to thank all those who responded to our call for public comments for lending
their time and effort to make this a better document.
Table of Contents

CHAPTER ONE: INTRODUCTION ...................................................................................................... 1

1.1 PURPOSE AND APPLICABILITY................................................................................................................ 1
1.2 TARGET AUDIENCE ............................................................................................................................... 2
1.3 RELATIONSHIP TO OTHER SECURITY PUBLICATIONS ................................................................................ 2
1.4 ORGANIZATION OF THIS SPECIAL PUBLICATION ....................................................................................... 3

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CHAPTER TWO: THE FUNDAMENTALS .............................................................................................. 5

2.1 OVERVIEW ........................................................................................................................................... 5
2.2 THE PHASES OF SECURITY-FOCUSED CONFIGURATION MANAGEMENT ...................................................... 8
2.3 SECURITY-FOCUSED CONFIGURATION MANAGEMENT CONCEPTS ........................................................... 10
2.4 SECCM ROLES AND RESPONSIBILITIES ............................................................................................... 14
CHAPTER THREE: THE PROCESS .................................................................................................. 16
3.1 PLANNING .......................................................................................................................................... 16
3.2 IDENTIFYING AND IMPLEMENTING CONFIGURATIONS ............................................................................... 33
3.3 CONTROLLING CONFIGURATION CHANGE ............................................................................................... 38
3.4 SECCM MONITORING .......................................................................................................................... 44

APPENDIX A REFERENCES .......................................................................................................................... A-

1 APPENDIX B GLOSSARY ..............................................................................................................................
B-1 APPENDIX C ACRONYMS
............................................................................................................................ C-1
APPENDIX D SAMPLE OUTLINE FOR A SECURITY CONFIGURATION MANAGEMENT PLAN .................................... D-1
APPENDIX E SAMPLE CHANGE REQUEST ...................................................................................................... E-1
APPENDIX F BEST PRACTICES FOR ESTABLISHING SECURE CONFIGURATIONS................................................. F-1
APPENDIX G SECCM PROCESS FLOW CHARTS .............................................................................................. G-1
APPENDIX H CCB CHARTER SAMPLE ............................................................................................................ H-1
APPENDIX I SECURITY IMPACT ANALYSIS TEMPLATE ...................................................................................... I-1

Errata

This table contains changes that have been incorporated into Special Publication 800-128. Errata updates
can include corrections, clarifications, or other minor changes in the publication that are either editorial
or substantive in nature.

Date Type Change Page

10/10/2019 Substantive Added new section, “Abstract” ii
10/10/2019 Substantive Added new section, “Keywords” ii
10/10/2019 Substantive Authority, Changed “Federal Information Security Management Act (FISMA),
Public Law (P.L.) 107-347” to “Federal Information Security Modernization Act i
(FISMA) of 2013, 44 U.S.C. § 3551 et seq.”
10/10/2019 Substantive Authority, Deleted “Public Law (P.L.) 107-347” i
10/10/2019 Substantive Authority, Deleted, “Section 8b(3), Securing Agency Information Systems, as
analyzed in Circular A-130, Appendix IV: Analysis of Key Sections. Supplemental i
information is provided in Circular A-130, Appendix III.”
10/10/2019 Substantive Deleted Section “Compliance with NIST Standards and Guidelines” ii

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10/10/2019 Substantive Acknowledgements, Added “Nedim Goren and Jody Jacobs completed the
ii
errata update.”
10/10/2019 Substantive Added Errata table vii
10/10/2019 Editorial Changed the term “information system” to “system” for brevity. Entire
document
10/10/2019 Editorial Changed “an” to “a” to correspond all applicable changes from “information Entire
system” to “system.” document
10/10/2019 Editorial Added hyperlinks throughout publication to Appendix A, References Entire
document
10/10/2019 Editorial Changed from “SISO” to “SAISO,” “ISO” to “system owner,” “ISSO” to “SSO,”
Entire
“ISA” to “SA,” “ISU” to “SU,” and “IS" to “system,” to correspond with
document
terminology updates.
10/10/2019 Editorial Chapter One, Section “Introduction,” first paragraph, second sentence: Deleted
1
“these” before “systems”
10/10/2019 Editorial Chapter One, Section “Introduction,” third paragraph, fourth sentence: Deleted
1
“system” before “security aspects”
10/10/2019 Editorial Chapter One, Section 1.1, first paragraph, second sentence: Deleted “security”
1
before “controls”
10/10/2019 Substantive Chapter One, Section Introduction, footnote 2: Changed from “Federal
Information Security Management Act (P.L. 107-347, Title III), December 2002”
1
to “Federal Information Security Modernization Act of 2014 [(Public Law
113283)], December 2014”
10/10/2019 Editorial Chapter One, Section 1.1, second paragraph, first sentence: Deleted “security”
2
before “controls”
10/10/2019 Editorial Chapter One, Section 1.1, second paragraph, second sentence: Deleted
2
“security” before “controls”
10/10/2019 Substantive Chapter One, Section 1.2, first paragraph, third bullet point: Changed from “or”
2
to “and”
10/10/2019 Substantive Chapter One, Section 1.3, first paragraph, second sentence: Deleted “Step 3,”
2
“Step 4,” and “Step 6”
10/10/2019 Substantive Chapter One, Section 1.3, first paragraph, second sentence: Changed from
“Guide to Applying the Risk Management Framework to Federal Information
Systems: A Security Life Cycle Approach” to “Risk Management Framework for 2
Information Systems and Organizations: A Security Life Cycle Approach for
Security and Privacy”
10/10/2019 Editorial Chapter One, Section 1.3, first paragraph, second sentence: Deleted “Draft”
3
before “NIST [SP 800-137]”
10/10/2019 Editorial Chapter One, Section 1.3, first paragraph, third sentence: Deleted “security”
3
before “controls” (two instances)
Date Type Change Page
10/10/2019 Substantive Chapter One, Section 1.3, third paragraph, first sentence: Deleted “NIST SP
800117, Guide to Adopting and Using the Security Content Automation Protocol 3
(SCAP)”
10/10/2019 Substantive Chapter One, Section 1.3, third paragraph, first sentence: Changed from “SCAP
3
Version 1.2” to “SCAP Version 1.3”
10/10/2019 Substantive Chapter Two, Section 2.1.1, first paragraph, first sentence: Changed from
4
“information systems enterprise” to “information technology”
10/10/2019 Editorial Chapter Two, Section 2.1.2, footnote 5: Deleted “[44 U.S.C., Sec. 3542]” 5

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10/10/2019 Substantive Chapter Two, Section 2.1.2, footnote 5: Added “, and “system” is used
5
synonymously with “information system.””
10/10/2019 Editorial Chapter Two, Section 2.1.2, footnote 6: Deleted “[CNSS Instructions 4009]” 5
10/10/2019 Editorial Chapter Two, Section 2.1.2, footnote 10: Deleted footnote with definition of
5
vulnerability; the definition of “vulnerability” is included in the glossary.
10/10/2019 Editorial Chapter Two, Section 2.1.3, first paragraph, second sentence: Changed from
6
“those” to “the”
10/10/2019 Editorial Chapter Two, Section 2.1.3, first paragraph, fourth sentence: Changed from
6
“These” to “However”
10/10/2019 Editorial Chapter Two, Section 2.1.3, first paragraph, fourth sentence: Deleted “the”
6
before “system” and changed from “system” to “systems”
10/10/2019 Substantive Chapter Two, Section 2.1.3, footnote 8: Changed from “ISO 10007: 2003; IEEE
Standard 828-2005” to “ISO 10007: 2017
(https://www.iso.org/standard/70400.html); IEEE Standard 828-2012-IEEE 6
Standard for Configuration Management in Software and Software Engineering,
https://standards.ieee.org/standard/828-2012.htm”
10/10/2019 Substantive Chapter Two, Section 2.1.3, fifth paragraph, second sentence: changed from
6
“will be” to “is” before “an initial investment”
10/10/2019 Editorial Chapter Two, Section 2.2, first paragraph, first sentence: Changed from “-“ to “:”
7
after “four major phases”
10/10/2019 Editorial Chapter Two, Section 2.2, first paragraph, first sentence: Deleted “i)” before
“Planning”, “ii)” before “Identifying and Implementing Configuration”, “iii)” 7
before “Controlling Configuration Changes”, and “iv)” before Monitoring.
10/10/2019 Editorial Chapter Two, Section 2.2, first paragraph, first sentence: Added “;” after
“Planning,” “Identifying and Implementing Configurations,” and “Controlling 7
Configuration Changes”
10/10/2019 Substantive Chapter Two, Section 2.2.1, footnote 9: Changed from
“http://checklists.nist.gov” to 7
“https://www.nist.gov/programsprojects/national-checklist-program”
10/10/2019 Substantive Chapter Two, Section 2.2.1, second paragraph, third sentence: Added “or
8
mission/business process risk management” after “organizational”
10/10/2019 Substantive Chapter Two, Section 2.2.4: Added footnote 10, “See NIST [SP 800-39],
Managing Information Security Risk: Organization, Mission, and Information 8
System View, for information on risk management levels.”
10/10/2019 Editorial Chapter Two, Section 2.3.2, first paragraph, first sentence: Changed from “will”
9
to “is to” after “SecCm policy”
10/10/2019 Substantive Chapter Two, Section 2.3.2, first paragraph, second sentence: Added “supporting
9
a mission/business process” after “systems”
10/10/2019 Substantive Chapter Two, Section 2.3.5, first paragraph, second sentence: Deleted “This
10
implies that t” before “CI is identified”
10/10/2019 Editorial Chapter Two, Section 2.3.5, second paragraph, second sentence: Changed from
10
“will vary” to “varies”
10/10/2019 Editorial Chapter Two, Section 2.3.10, first paragraph, first sentence: Deleted “IS” before
12
“components” (two instances)
10/10/2019 Editorial Chapter Two, Section 2.3.10, second paragraph, fourth sentence: Deleted
12
“security” before “controls” and “documentation”
10/10/2019 Editorial Chapter Two, Section 2.3.10, footnote 13: Deleted “Draft” before “NIST SP
12
800137”

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Date Type Change Page

10/10/2019 Editorial Chapter Two, Section 2.3.10, footnote 13: Changed from “Step Six’ to “Monitor
12
Step” in the parenthesis
10/10/2019 Editorial Chapter Two, Section 2.4, first paragraph, first sentence: Deleted “al, as well as
13
the” after “organization”
10/10/2019 Substantive Chapter Two, Section 2.4, first paragraph, first sentence: Added “,
13
mission/business process, and” after “organization”
10/10/2019 Substantive Chapter Two, Section 2.4, third paragraph: Changed from “Senior Information
13
Security Officer” to “Senior Agency Information Security Officer”
10/10/2019 Editorial Chapter Three, Section “The Process,” second paragraph, second sentence:
15
Changed from “these” to “the” before “activities”
10/10/2019 Substantive Chapter Three, Section “The Process”, second paragraph, second and third
15
sentences: Added “or mission/business process” after “organizational”
10/10/2019 Substantive Chapter Three, Section “The Process”, second paragraph, fifth sentence:
15
Deleted “organizational and information system” before “SecCM processes”
10/10/2019 Editorial Chapter Three, Section 3.1, first sentence: Deleted “both” before “the
15
organizational”
10/10/2019 Substantive Chapter Three, Section 3.1.1, first paragraph, first sentence: Added “(or the
15
mission/business process level)” after “organizational level”
10/10/2019 Editorial Chapter Three, Section 3.1.1, eleventh paragraph, first sentence: Deleted “IS”
17
before “Component Inventory”
10/10/2019 Substantive Chapter Three, Section 3.1.1, thirteenth paragraph, second sentence: Deleted
17
“Federal Desktop Core Configuration (FDCC),” after “(USGCB)”
10/10/2019 Substantive Chapter Three, Section 3.1.1, twentieth paragraph, fourth sentence: Added
19
“mission/business process or” before “system level”
10/10/2019 Substantive Chapter Three, Section 3.1.1, twenty-fifth paragraph, first sentence: Added
20
“(e.g., a software whitelist)”
10/10/2019 Editorial Chapter Three, Section 3.1.1, twenty-fifth paragraph, second sentence: Deleted
20
“are able to” after “System owners”
10/10/2019 Editorial Chapter Three, Section 3.1.1, twenty-ninth paragraph, fourth sentence: Changed
from “This” to “Tool installation and configuration” before “usually requires” 21

10/10/2019 Substantive Chapter Three, Section 3.1.1, twenty-ninth paragraph, third sentence: Added
21
“To the greatest extent possible, select automated” before “tools”
10/10/2019 Substantive Chapter Three, Section 3.1.1, twenty-ninth paragraph, third sentence: Changed
21
from “should be able to” to “that can” before “scan different”
10/10/2019 Editorial Chapter Three, Section 3.1.1, twenty-ninth paragraph, third sentence: Changed
21
“they” to “the current settings” before “are noncompliant”
10/10/2019 Editorial Chapter Three, Section 3.1.1, twenty-ninth paragraph, fourth sentence:
Changed from “Such” to “Automated configuration management” before” tools 21
import”
10/10/2019 Editorial Chapter Three, Section 3.1.1, thirtieth paragraph, second bullet: Changed “XML”
22
to “Extensible Markup Language (XML)” before “and SCAP”
10/10/2019 Editorial Chapter Three, Section 3.1.1, thirtieth paragraph, fifth bullet: Added “NIST”
22
before “[SP 800-53]”
10/10/2019 Editorial Chapter Three, Section 3.1.1, thirty-first paragraph, second sentence: Deleted
22
“IT” before “servers”
10/10/2019 Editorial Chapter Three, Section 3.1.1, thirty-first paragraph, third sentence: Changed
22
from “These” to “The” before “products”

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10/10/2019 Editorial Chapter Three, Section 3.1.2, second paragraph, twelfth bullet point: Deleted
24
“FDCC/” after “(e.g.,”
10/10/2019 Editorial Chapter Three, Section 3.1.2, eigth paragraph, fourth sentence: Moved sentence
“See Section 3.5 for more information on SCAP.” after “compliant tools.” to 25
footnote 17.
10/10/2019 Editorial Chapter Three, Section 3.1.2, ninth paragraph, third bullet point: Deleted “IS” 26
10/10/2019 Editorial Chapter Three, Section 3.1.2, tenth paragraph, eigth bullet point: Changed from
26
lower case “c” in “controls” to upper case “C” in” Controls”

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Date Type Change Page

10/10/2019 Editorial Chapter Three, Section 3.1.2, fourteenth paragraph, Roman numeral i: Deleted
27
“I” from “ISC”
10/10/2019 Editorial Chapter Three, Section 3.1.2, fourteenth paragraph, Roman numeral iii: Deleted
27
“I” from “ISC”
10/10/2019 Substantive Chapter Three, Section 3.1.2, fifteenth paragraph, second sentence: Added
27
“(e.g., software applications)” after “System applications”
10/10/2019 Editorial Chapter Three, Section 3.1.2, twenty-first paragraph, sixth sentence: Changed
28
from “IS elements” to “system components”
10/10/2019 Substantive Chapter Three, Section 3.1.2, twenty-fourth paragraph, third sentence: Added
30
“system owner or” before “SSO”
10/10/2019 Substantive Chapter Three, Section 3.1.2, twenty-fourth paragraph, third sentence: Deleted
30
“or ISSM” after “SSO”
10/10/2019 Substantive Chapter Three, Section 3.2.1, first paragraph, first bullet, tenth sub-bullet:
31
Changed “FIPS 140-2” to “[FIPS 140-3]”
10/10/2019 Editorial Chapter Three, Section 3.2.1, first paragraph, fourth bullet: Deleted “[HIDS]” 31
10/10/2019 Substantive Chapter Three, Section 3.2.1, second paragraph, second sentence: Changed
31
“National Checklist Program” to “National Checklist Program Repository”
10/10/2019 Editorial Chapter Three, Section 3.2.1, footnote 20: Changed “Special Publication” to “SP”
31-32

10/10/2019 Substantive Chapter Three, Section 3.2.1, footnote 20: Added “and Repository. Also see
https://www.nist.gov/programs-projects/national-checklist-program, which
includes checklists from multiple authoritative sources including DISA STIGs, CIS 31-32
Benchmarks, and commercial providers; and
https://nvd.nist.gov/ncp/repository for information on the repository.”
10/10/2019 Substantive Chapter Three, Section 3.2.1, footnote 20: Deleted “http://checklist.nist.gov” 31-32
10/10/2019 Editorial Chapter Three, Section 3.2.2, fifth paragraph, fourth sentence: Changed “OS” to
33
“operating system (OS)”
10/10/2019 Editorial Chapter Three, Section 3.3, first paragraph, first sentence: Deleted "their” before
35
“systems”
10/10/2019 Editorial Chapter Three, Section 3.3.2, first paragraph, second sentence: Changed “they”
36
to “changes” before “are implemented”
10/10/2019 Editorial Chapter Three, Section 3.3.2, first paragraph, third sentence: Changed from “it”
36
to “configuration change control” before “generally”
10/10/2019 Editorial Chapter Three, Section 3.3.2, second paragraph, second sentence: Changed from
37
“These changes” to “Changes” before “to the process”
10/10/2019 Editorial Chapter Three, Section 3.3.2, fourth paragraph, first sentence: Changed from
37
“these” to “such” before “activities”
10/10/2019 Editorial Chapter Three, Section 3.3.3, first paragraph, first sentence: Changed from “This”
38
to “Security impact analysis” before “is one of”
10/10/2019 Editorial Chapter Three, Section 3.3.3, first paragraph, second sentence: Changed from
38
“this” to “the system security” before “effort”
10/10/2019 Substantive Chapter Three, Section 3.3.3, third paragraph, second sentence: Deleted
38
footnote 25 because referenced publications were withdrawn.
10/10/2019 Editorial Chapter Three, Section 3.3.3, third paragraph, second bullet point, third
38
sentence: Changed from “it” to “the change” before “will be built”
10/10/2019 Editorial Chapter Three, Section 3.3.3, third paragraph, third bullet point: Deleted “-“ after
38
“(Deployed)”

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10/10/2019 Editorial Chapter Three, Section 3.3.3, third paragraph, third bullet point, first sentence:
Changed from “This” to “Security impact analysis in the operations and 38
maintenance phase” before “confirms that”
10/10/2019 Substantive Chapter Three, Section 3.3.3, third paragraph, third bullet point, first sentence:
38
Added “in the operational environment” after “introduced”
10/10/2019 Substantive Chapter Three, Section 3.3.3, fourth paragraph, second Roman numeral ii, first
sentence: Changed from “for example” to “but is not limited to” before “, a 39
search”

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Date Type Change Page

10/10/2019 Editorial Chapter Three, Section 3.3.3, fourth paragraph, second Roman numeral ii,
39
second sentence: Changed from “this” to “NVD” before “information”
10/10/2019 Editorial Chapter Three, Section 3.3.4, first paragraph, first sentence: Deleted “Security”
40
before “Assessment Reports”
10/10/2019 Substantive Chapter Three, Section 3.4, first paragraph, first sentence: Added “if” before “an
40
organization’s” and “(i.e., reduce risk)” after “from attacks”
10/10/2019 Substantive Chapter Three, Section 3.4, first paragraph, footnote 23: Changed “baselines” to
40
“baseline configurations” after “archived”
10/10/2019 Substantive Chapter Three, Section 3.4, second paragraph, third sentence: Changed
“Unapproved components are often a major threat to security; they rarely have
updated patches, are not configured using the approved baseline configurations,
and are not assessed or included in the authorization to operate” to
41
“Unapproved components often create a major security risk; unapproved
components rarely have updated patches, are not configured using the
approved baseline configurations, and are not assessed or included in the
authorization to operate.”
10/10/2019 Substantive Chapter Three, Section 3.4.1, first paragraph, fifth sentence: Added “in support
41
of overall continuous monitoring.” after “status”
10/10/2019 Substantive Chapter Three, Section 3.4.1, second paragraph, sixth bullet point, first
42
sentence: Changed from “system impact analysis” to “security impact analysis”
10/10/2019 Editorial Chapter Three, Section 3.4.1, seventh paragraph, second sentence: Changed
43
“they can take actions such as” to “actions can be taken such as”
10/10/2019 Editorial Chapter Three, Section 3.5, first paragraph, first sentence: Changed “SCAP is a
protocol currently consisting of a suite of specifications that standardize the
format and nomenclature by which security software communicates information
about software flaws and secure configurations” to “Security Content 44
Automation Protocol (SCAP) is a suite of specifications that standardize the
format and nomenclature by which information about software flaws and secure
configurations can be communicated”
10/10/2019 Substantive Chapter Three, Section 3.5, first paragraph, second sentence: Added “against an
44
expected baseline” after “security configuration settings”
10/10/2019 Substantive Chapter Three, Section 3.5, second paragraph, third sentence: Deleted
44
“highlevel” before “security requirements”
10/10/2019 Editorial Chapter Three, Section 3.5, second paragraph, fourth sentence: Changed “These
44
mappings” to “Mappings between settings and requirements”
10/10/2019 Editorial Chapter Three, Section 3.5, second paragraph, sixth sentence: Changed from
“This” to “The embedded mappings in SCAP-enabled tools” before “can provide” 44

10/10/2019 Substantive Chapter Three, Section 3.5, second paragraph, seventh sentence: Deleted “If
SCAP-enabled tools are not available or are not currently deployed within an
organization, organizations plan ahead by implementing SCAP-expressed 44
checklists for their common secure configurations in order to be well positioned
when SCAP-enabled tools become available and/or are deployed.”

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10/10/2019 Substantive Chapter Three, Section 3.5, third paragraph, first sentence: Changed from
“Organizations encourage security software vendors to incorporate support for
Common Vulnerabilities and Exposures (CVE), Common Configuration
Enumeration (CCE), and Common Platform Enumeration (CPE) into their
products, as well as encourage all software vendors to include CVE and CCE
identifiers and CPE product names in their vulnerability and patch advisories” to
“NIST encourages security software vendors to incorporate support for 44
Common Vulnerabilities and Exposures (CVE), Common Configuration
Enumeration (CCE), and Software Identification (SWID) Tags into their products,
as well as encourage all software vendors to include CVE and CCE identifiers and
software identifiers provided by the Common Platform Enumeration (CPE) and
SWID in their vulnerability and patch advisories”

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Date Type Change Page

10/10/2019 Substantive Chapter Three, Section 3.5, third paragraph, footnote 25, first sentence:
Deleted “National Institute of Standards and Technology Special publications
44
800-117, Guide to Adopting and Using the Security Content Automation
Protocol and” before “[SP 800-126]”
10/10/2019 Substantive Chapter Three, Section 3.5, third paragraph, footnote 25, first sentence: Deleted
“The text in Section 3.5 was taken from NIST SP 800-117, pages ES-1 and ES-2” 44

10/10/2019 Substantive Chapter Three, Section 3.5, third paragraph, footnote 26: Added “or updated
44
over time” after “to be added”
10/10/2019 Substantive Chapter Three, Section 3.5, footnote 26: Changed from
44
“http://scap.nist.gov/revis1” to “https://scap.nist.gov/”
10/10/2019 Substantive Chapter Three, Section 3.5, footnote 27: Changed from “Table taken from
National Institute of Standards and Technology Special Publication 800-117. The
OCIL, CCSS, ARF and Asset Identification information was added based on NIST
SP 800-126r2. Additional SCAP specifications are expected to be added, check
http://scap.nist.gov/revision/ for updates” to “Information for the table was 45
taken from NIST [SP 800-126], Rev 3, Section 2. Additional SCAP specifications
are expected to be added, check https://csrc.nist.gov/Projects/Security-
Content-Automation-Protocol/SCAP-
Releases for updates”
10/10/2019 Substantive Chapter Three, Section 3.5, Table “SCAP Version 1.2 Components:” Updated to
“SCAP Version 1.3 Components.” Specification and Descriptions updated 45
accordingly.
10/10/2019 Substantive Updated Appendix A, References. All references updated to reflect latest
A-1 – A-8
revisions/versions.
10/10/2019 Substantive Updated Appendix B, Glossary. Glossary terms and associated
B-1 – B-9
sources/references updated to reflect latest revisions/versions.
10/10/2019 Substantive Updated Appendix C, Acronyms C-1
10/10/2019 Substantive Appendix D, Section 3: Changed from “Suggested” to “Potential” before “SecCM
D-2
Plan”
10/10/2019 Editorial Appendix E, first paragraph: Changed from “it” to “the change request” after “to
E-1
adapt”
10/10/2019 Editorial Appendix F, first paragraph, first sentence: Changed from “These include" to
F-1
“including:”
10/10/2019 Editorial Appendix F, section 1, third sentence: Changed from “These” to “The” before
F-1
“checklists”
10/10/2019 Substantive Appendix F, section 1: Added “Associated NIST [SP 800-53] Control: CM-6.” F-1
10/10/2019 Substantive Appendix F, section 1: Changed from “References:
NIST SP 800-27: Engineering Principles for Information Technology Security (A
Baseline for Achieving Security);
NIST SP 800-68: Guide to Securing Microsoft Windows XP Systems for IT
Professionals;
NIST SP 800-69: Guidance for Securing Microsoft Windows XP Home Edition: A
NIST Security Configuration Checklist; F-1
NIST SP 800-70: National Checklist Program for IT Products-Guidelines for
Checklist Users and Developers;
NIST SP 800-117: Guide to Adopting and Using the Security Content Automation
Protocol (SCAP); and http://nvd.nist.gov” to “References: NIST [SP 800-70]:
National Checklist Program for IT Products-Guidelines for Checklist Users and
Developers; and https://nvd.nist.gov.”

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10/10/2019 Substantive Appendix F, section 2: Added “Associated NIST [SP 800-53] Control: CM-1; CM-
F-1
6.”
10/10/2019 Substantive Appendix F, section 3: Added “Associated NIST [SP 800-53] Control: CM-6; RA-
F-1
3.”
10/10/2019 Substantive Appendix F, section 3: Deleted “NIST SP 800-48: Guide to Securing Legacy IEEE
F-1
802.11 Wireless Networks”

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Date Type Change Page

10/10/2019 Substantive Appendix F, section 3: Changed from:
“NIST SP 800-46: Guide to Enterprise Telework and Remote Access Security;” to
“NIST [SP 800-46]: Guide to Enterprise Telework, Remote Access, and Bring
Your Own Device (BYOD) Security”
“NIST SP 800-52: Guidelines for the Selection and Use of Transport Layer
Security (TLS) Implementations” to “NIST [SP 800-52]: Guidelines for the F-1 – F-2
Selection, Configuration, and Use of Transport Layer Security (TLS)
Implementations;” and
“NIST SP 800-124: Guidelines on Cell Phone and PDA Security” to “NIST [SP
800124]: Guidelines for Managing the Security of Mobile Devices in the
Enterprise”
10/10/2019 Substantive Appendix F, section 4: Added “Associated NIST [SP 800-53] Control: CM-7.” F-2
10/10/2019 Substantive Appendix F, section 5: Added “Associated NIST [SP 800-53] Control: AC-17.” F-2
10/10/2019 Substantive Appendix F, section 5: Changed from:
“NIST SP 800-46: Guide to Enterprise Telework and Remote Access Security;” to
“NIST [SP 800-46]: Guide to Enterprise Telework, Remote Access, and Bring
Your Own Device (BYOD) Security”
“NIST SP 800-52: Guidelines for the Selection and Use of Transport Layer
Security (TLS) Implementations” to “NIST [SP 800-52]: Guidelines for the F-2
Selection, Configuration, and Use of Transport Layer Security (TLS)
Implementations;” and
“NIST SP 800-124: Guidelines on Cell Phone and PDA Security” to “NIST [SP
800124]: Guidelines for Managing the Security of Mobile Devices in the
Enterprise”
10/10/2019 Substantive Appendix F, section 6: Changed from “are” to “remain” after “Passwords” F-3
10/10/2019 Substantive Appendix F, section 6: Added “Associated NIST [SP 800-53] Control: IA-2; IA-5.” F-3
10/10/2019 Substantive Appendix F, section 6: Changed from “NIST SP 800-63: Electronic Authentication
Guideline” to “NIST [SP 800-63B]: Digital Identity Guidelines, Authentication and F-3
Lifecycle Management”
10/10/2019 Substantive Appendix F, section 6: Deleted “NIST SP 800-118: Guide to Enterprise Password
F-3
Management (Draft)”
10/10/2019 Substantive Appendix F, section 7, first paragraph, first sentence: Changed from “Personal
computers are a fundamental part of any organization’s information system” to
F-3
“Endpoints (e.g., laptops, desktops, mobile devices) are a fundamental part of
any organizational system”
10/10/2019 Editorial Appendix F, section 7, first paragraph, second sentence: Changed from “They” to
F-3
“Endpoints”
10/10/2019 Substantive Appendix F, section 7, first paragraph, third sentence: Changed from “their PC”
F-3
to “the endpoint” before “, frequently allow”
10/10/2019 Substantive Appendix F, section 7: Added “Associated NIST [SP 800-53] Control: SC-7, SC-18,
F-4
SI-3, SI-4.”
10/10/2019 Substantive Appendix F, section 7: Added “NIST [SP 800-124]: Guidelines for Managing the
Security of Mobile Devices in the Enterprise; and
F-4
NIST [SP 800-179]: Guide to Securing Apple OS X 10.10 System for IT
Professional: A NIST Security Configuration Checklist.”
10/10/2019 Editorial Appendix F, section 8, first paragraph, first sentence: Changed from “as part of
an information system’s secure configuration” to “to be part the secure F-4
configuration of the system” after “is considered”
10/10/2019 Substantive Appendix F, section 8: Added “Associated NIST [SP 800-53] Control: SC-13.” F-4

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10/10/2019 Substantive Appendix F, section 8: Changed from:

“FIPS 140-2” to “[FIPS 140-3]”
“NIST SP 800-57 (parts 1-3): Recommendation for Key Management” to “NIST
[SP 800-57]: Recommendation for Key Management, Part 1: General;
F-4
NIST [SP 800-57]: Recommendation for Key Management, Part 2: Best Practices
for Key Management Organization;
NIST [SP 800-57]: Recommendation for Key Management, Part 3: Application-
Specific Key Management Guidance;”
10/10/2019 Substantive Appendix F, section 8: Deleted “NIST SP 800-21: Guideline for Implementing
F-4
Cryptography in the Federal Government”

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Date Type Change Page

10/10/2019 Substantive Appendix F, section 8: Added “NIST [SP 800-175B]: Guideline for Using
Cryptographic Standards in the Federal Government: Cryptographic F-4
Mechanisms”
10/10/2019 Substantive Appendix F, section 9: Added “Associated NIST [SP 800-53] Control: CM-2, CM3,
F-5
CM-4, SI-2.”
10/10/2019 Substantive Appendix F, section 9: Changed from “NIST SP 800-40: Creating a Patch and
Vulnerability Program” to “NIST [SP 800-40]: Guide to Enterprise Patch F-5
Management Technologies”
10/10/2019 Editorial Appendix F, section 10: Changed from “an organization’s information system” to
F-5
“an organizational system”
10/10/2019 Substantive Appendix F, section 10: Added “Associated NIST [SP 800-53] Control: CM-5, CM7,
F-5
CM-11, SI-7”
10/10/2019 Substantive Appendix F, section 10: Changed from “None” to “NIST [SP 800-167]: Guide to
F-5
Application Whitelisting”

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CHAPTER ONE INTRODUCTION

THE NEED FOR CONFIGURATION MANAGEMENT TO PROTECT INFORMATION AND SYSTEMS

A system is composed of many components1 that can be interconnected in a multitude of

arrangements to meet a variety of business, mission, and information security needs. How
system components are networked, configured, and managed is critical in providing
adequate information security and supporting an organization’s risk management process.

A system is typically in a constant state of change in response to new, enhanced, corrected, or

updated hardware and software capabilities, patches for correcting software flaws and other errors
to existing components, new security threats, changing business functions, etc. Implementing
system changes almost always results in some adjustment to the system configuration. To ensure
that the required adjustments to the system configuration do not adversely affect the security of the
system or the organization from operation of the system, a well-defined configuration management
process that integrates information security is needed.

Organizations apply configuration management (CM) for establishing baselines and for tracking,
controlling, and managing many aspects of business development and operation (e.g., products, services,
manufacturing, business processes, and information technology). Organizations with a robust and
effective CM process need to consider information security implications with respect to the development
and operation of systems including hardware, software, applications, and documentation. Effective CM
of systems requires the integration of the management of secure configurations into the organizational
CM process or processes. For this reason, this document assumes that information security is an integral
part of an organization’s overall CM process; however, the focus of this document is on implementation
of the information security aspects of CM, and as such the term security-focused configuration
management (SecCM) is used to emphasize the concentration on information security. Though both IT
business application functions and security-focused practices are expected to be integrated as a single
process, SecCM in this context is defined as the management and control of configurations for systems to
enable security and facilitate the management of information security risk.

1.1 PURPOSE AND APPLICABILITY

Federal agencies are responsible for “including policies and procedures that ensure compliance with
minimally acceptable system configuration requirements, as determined by the agency” within their
information security program.2 Managing system configurations is also a minimum security requirement
identified in [FIPS 200],3 and NIST [SP 800-53]4 defines controls that support this requirement.

In addition to general guidelines for ensuring that security considerations are integrated into the
CM process, this publication provides guidelines for implementation of the Configuration
Management family of controls defined in NIST [SP 800-53] (CM-1 through CM-9). This

1System components include, for example, mainframes, workstations, servers (e.g., database, electronic mail, authentication,
Web, proxy, file, domain name), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access
points, network appliances, sensors), operating systems, middleware, and applications.
2 Refer to [FISMA] for additional information.
3 Refer to NIST [FIPS 200] for additional information.
4 Refer to NIST [SP 800-53] for additional information.

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publication also includes guidelines for NIST [SP 800-53] controls related to managing the
configuration of the system architecture and associated components for secure processing,
storing, and transmitting of information. Configuration management is an important process for
establishing and maintaining secure system configurations, and provides important support for
managing security risks in systems.

The guidelines in this publication are applicable to all federal information systems other than
those systems designated as national security systems as defined in [44 USC 3542]. The
guidelines have been broadly developed from a technical perspective to complement similar
guidelines for national security systems and may be used for such systems with the approval of
appropriate federal officials exercising policy authority over such systems. State, local, and tribal
governments, as well as private sector organizations are encouraged to consider using these
guidelines, as appropriate.

This publication is intended to provide guidelines for organizations responsible for managing and
administrating the security of federal information systems and associated environments of
operation. For organizations responsible for the security of information processed, stored, and
transmitted by external or service-oriented environments (e.g., cloud service providers), the
configuration management concepts and principles presented here can aid organizations in
establishing assurance requirements for suppliers providing external information technology
services.

1.2 TARGET AUDIENCE

This publication is intended to serve a diverse audience of system and information security professionals
including:

• Individuals with system and information security management and oversight responsibilities (e.g.,
chief information officers, senior agency information security officers, and authorizing officials);

• Individuals with system development responsibilities (e.g., program and project managers,
mission/application owners, system designers, system and application programmers);

• Individuals with security implementation and operational responsibilities (e.g., system owners,
information owners and stewards, system administrators, system security officers); and

• Individuals with system and information security assessment and monitoring responsibilities (e.g.,
auditors, Inspectors General, assessors/assessment teams).

Commercial companies producing information technology products and systems, creating information
security-related technologies, and providing information security services can also benefit from the
information in this publication.

1.3 RELATIONSHIP TO OTHER SECURITY PUBLICATIONS

Configuration management concepts and principles described in this publication provide
supporting information for NIST [SP 800-53], Security and Privacy Controls for Federal
Information Systems and Organizations, as amended. This publication also provides important

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supporting information for the Implement Step, Assess Step , and the Monitor Step of the Risk
Management Framework (RMF) that is discussed in NIST [SP 800-37], Risk Management
Framework for Information Systems and Organizations: A System Life Cycle Approach for
Security and Privacy, as amended. More specific guidelines on the implementation of the
Monitor step of the RMF is provided in NIST [SP 800-137], Information Security Continuous
Monitoring for Federal Information Systems and Organizations. The purpose of the Monitor step
in the Risk Management Framework is to continuously monitor the effectiveness of all controls
selected, implemented, and authorized for protecting organizational information and systems,
which includes the Configuration Management controls identified in NIST [SP 800-53]. The
monitoring phase identified in the security-focused configuration management (SecCM) process
defined later in this document supports the RMF Monitoring phase by providing specific
activities associated with the monitoring of the system structural architecture and the
configuration settings of the software and hardware that operate in that system architecture.

Many of the SecCM concepts and principles described in this publication draw upon the underlying
principles established for managing information security risk in NIST [SP 800-39], Managing
Information Security Risk: Organization, Mission, and Information System View.

This publication often refers to information from NIST [SP 800-70], National Checklist Program
for IT Products--Guidelines for Checklist Users and Developers, as amended; and NIST [SP
800126], The Technical Specification for the Security Content Automation Protocol (SCAP),
Version 1.3, as a potential means of automated support in conducting many configuration
management activities.

Additionally, this publication refers to numerous NIST Special Publications that provide guidelines
on use and configuration of specific technologies for securing systems. Many of these publications
are identified in Appendix F, Best Practices for Establishing Secure Configurations.

1.4 ORGANIZATION OF THIS SPECIAL PUBLICATION

The remainder of this special publication is organized as follows:
• Chapter Two describes the fundamental concepts associated with SecCM including: (i) an
overview of general configuration management terms and concepts, and its relationship to
security-focused configuration management of information technology (IT) and systems; (ii)
the major phases of SecCM; (iii) the fundamental concepts relevant to the practice of SecCM;
and (iv) the primary roles and responsibilities relevant to SecCM.

• Chapter Three describes the process of applying SecCM practices to systems within an
organization including: (i) planning SecCM activities for the organization; (ii) identifying and
implementing secure configurations; (iii) controlling configuration changes to systems; (iv)
monitoring the configuration of systems to ensure that configurations are not inadvertently
altered from the approved baseline; and (v) the use of standardized Security Content
Automation Protocol (SCAP) protocols for supporting automated tools in verifying system
configurations.
• Supporting appendices provide more detailed SecCM information including: (A) general
references; (B) glossary of terms and definitions; (C) acronyms; (D) sample SecCM plan
outline; (E) sample configuration change request template; (F) best practices for establishing

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secure configurations in systems, (G) flow charts for various SecCM processes and activities,
and (H) sample Configuration Control Board (CCB) charter.

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CHAPTER TWO THE FUNDAMENTALS

BASIC CONCEPTS OF SECURITY CONFIGURATION MANAGEMENT

T ( SecCM) including: (i) an overview of basic configuration management terms and

his chapter presents the fundamentals of security-focused configuration management
concepts, and the role of SecCM; (ii) the primary phases of SecCM; (iii) SecCM
concepts;
and (iv) the roles and responsibilities relevant to SecCM.

2.1 OVERVIEW
This section provides an overview of SecCM including its importance in managing
organizational risks from systems, the basic terms associated with configuration management,
and characterization of SecCM within the configuration management discipline.

2.1.1 BASIC CONFIGURATION MANAGEMENT

Configuration management has been applied to a broad range of products and systems in subject
areas such as automobiles, pharmaceuticals, and information technology. Some basic terms
associated with the configuration management discipline are briefly explained below.

Configuration Management (CM) comprises a collection of activities focused on establishing and

maintaining the integrity of products and systems, through control of the processes for
initializing, changing, and monitoring the configurations of those products and systems.

A Configuration Item (CI) is an identifiable part of a system (e.g., hardware, software, firmware,
documentation, or a combination thereof) that is a discrete target of configuration control processes.

A Baseline Configuration is a set of specifications for a system, or CI within a system, that has
been formally reviewed and agreed on at a given point in time, and which can be changed only
through change control procedures. The baseline configuration is used as a basis for future builds,
releases, and/or changes.

A Configuration Management Plan (CM Plan) is a comprehensive description of the roles,

responsibilities, policies, and procedures that apply when managing the configuration of products
and systems. The basic parts of a CM Plan include:

− Configuration Control Board (CCB) – Establishment of and charter for a group of qualified
people with responsibility for the process of controlling and approving changes throughout the
development and operational lifecycle of products and systems; may also be referred to as a
change control board;

− Configuration Item Identification – methodology for selecting and naming configuration

items that need to be placed under CM;

− Configuration Change Control – process for managing updates to the baseline configurations
for the configuration items; and

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− Configuration Monitoring – process for assessing or testing the level of compliance with the
established baseline configuration and mechanisms for reporting on the configuration status of
items placed under CM.

This guideline is associated with the application of security-focused configuration management

practices as they apply to systems. The configuration of a system is a representation of the
system’s components, how each component is configured, and how the components are connected
or arranged to implement the system. The possible conditions in which a system or system
component can be arranged affect the security posture of the system. The activities involved in
managing the configuration of a system include development of a configuration management
plan, establishment of a configuration control board, development of a methodology for
configuration item identification, establishment of the baseline configuration, development of a
configuration change control process, and development of a process for configuration monitoring
and reporting.

2.1.2 THE CHALLENGE OF PROTECTING INFORMATION AND MANAGING RISK

As the ubiquity of information technology increases the dependence on systems, organizations are
faced with an increase in the number and severity of threats that can have adverse impacts on
operations, assets, and individuals. Given the potential for harm that can arise from
environmental disruptions, human errors, and purposeful attacks by hostile entities and other
threats, an organization must place greater emphasis on the management of risk associated with
systems as it attempts to carry out its mission and business processes. The cornerstone of any
effort to manage organizational risk related to systems is an effective security5 program.

It is incumbent upon the organization to implement its directives in a manner that provides
adequate security6 for protecting information and systems. As threats continue to evolve in an
environment where organizations have finite resources with which to protect themselves, security
has become a risk-based activity where the operational and economic costs of ensuring that a
particular threat does not exploit a vulnerability are balanced against the needs of the organization’s
mission and business processes. In a world of limited resources, the practice of risk management is
fundamental to an information security program.

In risk-based mission protection strategies, organizations explicitly identify and respond to risks
associated with the use of systems in carrying out missions and business processes. Careful
consideration is given to how a range of diverse threats can expose existing vulnerabilities and
cause harm to the organization. In the management of risk, organizations often have very little
control over threats. Organizations cannot control earthquakes, floods, disgruntled employees,
hackers, and other threats; however, organizations can control vulnerabilities and reduce threats
via implementation of a robust SecCM process that is part of the overall risk management
process. Vulnerabilities represent the various types of weaknesses that can be exploited by a
threat. While an analysis of system vulnerabilities reveals a variety of potential causes, many
vulnerabilities can be traced to software flaws and misconfigurations of system components.

5Information security is the protection of information and systems from unauthorized access, use, disclosure, disruption,
modification, or destruction in order to provide confidentiality, integrity, and availability. For the purposes of this publication,
“security” is used synonymously with “information security,” and “system” is used synonymously with “information system.”
6Adequate security is security commensurate with the risk and the magnitude of harm resulting from the loss, misuse, or
unauthorized access to or modification of information

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The management of configurations has traditionally been viewed as an IT management best

practice.7 Using SecCM to gain greater control over and ensure the integrity of IT resources
facilitates asset management, improves incident response, help desk, disaster recovery and problem
solving, aids in software development and release management, enables greater automation of
processes, and supports compliance with policies and preparation for audits.

2.1.3 ROLE OF SECURITY-FOCUSED CONFIGURATION MANAGEMENT8

The configuration of a system and its components has a direct impact on the security posture of
the system. How the configurations are established and maintained requires a disciplined
approach for providing adequate security. Changes to the configuration of a system are often
needed to stay up to date with changing business functions and services, and information security
needs. However, changes can adversely impact the previously established security posture;
therefore, effective configuration management is vital to the establishment and maintenance of
security of information and systems. The security-focused configuration management process is
critical to maintaining a secure state under normal operations, contingency recovery operations,
and reconstitution to normal operations.

Security-Focused Configuration Management (SecCM) is the management and control of secure

configurations for a system to enable security and facilitate the management of risk. SecCM
builds on the general concepts, processes, and activities of configuration management by
attention on the implementation and maintenance of the established security requirements of the
organization and systems.

Information security configuration management requirements are integrated into (or complement)
existing organizational configuration management processes (e.g., business functions,
applications, products) and information systems. SecCM activities include:

• identification and recording of configurations that impact the security posture of the system and
the organization;
• the consideration of security risks in approving the initial configuration; • the analysis of
security implications of changes to the system configuration; and
• documentation of the approved/implemented changes.

In cases where an organization has no existing CM process in place, security-focused configuration

management practices as defined in this document are developed and implemented from process
inception.

Initial implementation of a SecCM program may require considerable effort. If there is no existing
SecCM process within the organization, there is an initial investment in developing and

7Best practices are often considered to be proven practices or processes that have been successfully used by multiple
organizations. IT management best practices, as referred to in this publication, are viewed from an organization-wide perspective
as practices that best support the mission and business functions or services of the organization.
8 There are a number of organizations that have documented best practice standards and guidelines for configuration management
which precede this Special Publication and influence its direction including [ISO 10007]; [IEEE 828-2012]; the Capability
Maturity Model Integration [CMMI] with their focus on configuration management for software development documents; the
Information Technology Infrastructure Library [ITIL] for its influence on the integration of configuration within information
technology management; and the International Organization for Standardization (ISO) for its attention to configuration
management within quality management systems.

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implementing a program that is comprehensive enough to span multiple technologies, the

organizational structure, and disparate processes, and that can deliver consistent results while
supporting the organization’s missions and business processes. In addition, tools are procured and
implemented, system components inventoried and recorded, and processes modified to account
for new ways of managing technology in the context of SecCM.

Once in place, SecCM requires an ongoing investment in time and resources. Product patches,
fixes, and updates require time for security impact analysis even as threats and vulnerabilities
continue to exist. As changes to systems are made, baseline configurations are updated, specific
configuration settings confirmed, and configuration items tracked, verified, and reported. SecCM
is a continuous activity that, once incorporated into IT management processes, touches all stages
of the system development life cycle (SDLC). Organizations that implement SecCM throughout
the SDLC and make its tenets a part of the IT management culture are most likely to reap benefits
in terms of improvement of security and functionality, and more effective management of
organizational risk.

2.2 THE PHASES OF SECURITY-FOCUSED CONFIGURATION MANAGEMENT

Security-focused configuration management of systems involves a set of activities that can be
organized into four major phases: Planning; Identifying and Implementing Configurations;
Controlling Configuration Changes; and Monitoring. It is through these phases that SecCM not
only supports security for a system and its components, but also supports the management of
organizational risk. Chapter 3 presents the detailed processes and considerations in implementing
the necessary activities in each of these phases.

The four phases of SecCM are illustrated in Figure 2-1 and described below.

Identifying and Controlling

Planning Implementing Configuration Monitoring
Configurations Changes

Figure 2-1 – Security-focused Configuration Management Phases

2.2.1 PLANNING
As with many security activities, planning can greatly impact the success or failure of the effort. As
a part of planning, the scope or applicability of SecCM processes are identified.

Planning includes developing policy and procedures to incorporate SecCM into existing
information technology and security programs, and then disseminating the policy throughout the
organization. Policy addresses areas such as the implementation of SecCM plans, integration into
existing security program plans, Configuration Control Boards (CCBs), configuration change

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control processes, tools and technology, the use of common secure configurations9 and baseline
configurations, monitoring, and metrics for compliance with established SecCM policy and
procedures. It is typically more cost-effective to develop and implement a SecCM plan, policies,
procedures, and associated SecCM tools at the organizational or mission/business process risk
management level.10

2.2.2 IDENTIFYING AND IMPLEMENTING CONFIGURATIONS

After the planning and preparation activities are completed, a secure baseline configuration for the
system is developed, reviewed, approved, and implemented. The approved baseline configuration
for a system and associated components represents the most secure state consistent with
operational requirements and constraints. For a typical system, the secure baseline may address
configuration settings, software loads, patch levels, how the information system is physically or
logically arranged, how various security controls are implemented, and documentation. Where
possible, automation is used to enable interoperability of tools and uniformity of baseline
configurations across the system.

2.2.3 CONTROLLING CONFIGURATION CHANGES

Given the continually evolving nature of a system and the mission it supports, the challenge for
organizations is not only to establish an initial baseline configuration that represents a secure state
(which is also cost-effective, functional, and supportive of mission and business processes), but
also to maintain a secure configuration in the face of the significant waves of change that ripple
through organizations.

In this phase of SecCM, the emphasis is put on the management of change to maintain the secure,
approved baseline of the system. Through the use of SecCM practices, organizations ensure that
changes are formally identified, proposed, reviewed, analyzed for security impact, tested, and
approved prior to implementation. As part of the configuration change control effort, organizations
can employ a variety of access restrictions for change including access controls, process
automation, abstract layers, change windows, and verification and audit activities to limit
unauthorized and/or undocumented changes to the system.

2.2.4 MONITORING
Monitoring activities are used as the mechanism within SecCM to validate that the system is
adhering to organizational policies, procedures, and the approved secure baseline configuration.
Planning and implementing secure configurations and then controlling configuration change is
usually not sufficient to ensure that a system which was once secure will remain secure.
Monitoring identifies undiscovered/undocumented system components, misconfigurations,
vulnerabilities, and unauthorized changes, all of which, if not addressed, can expose organizations
to increased risk. Using automated tools helps organizations to efficiently identify when the
system is not consistent with the approved baseline configuration and when remediation actions
are necessary. In addition, the use of automated tools often facilitates situational awareness and the
documentation of deviations from the baseline configuration.

9 A common secure configuration is a recognized, standardized, and established benchmark (e.g., National Checklist Program,
DISA STIGs, etc.) that stipulates specific secure configuration settings for a given IT platform. See
https://www.nist.gov/programs-projects/national-checklist-program
10 See NIST [SP 800-39] for information on risk management levels.

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Processes and requirements within all four SecCM phases do not remain static thus all processes
in all four phases are reviewed and revised as needed to support organizational risk management.
SecCM monitoring activities may loop back to any of the previous phases (as noted in Figure 2-1)
and precipitate changes.

SecCM monitoring is done through assessment and reporting activities. Reports address the
secure state of individual system configurations and are used as input to Risk Management
Framework information security continuous monitoring requirements.11 SecCM monitoring can
also support gathering of information for metrics that can be used to provide quantitative evidence
that the SecCM program is meeting its stated goals, and can be used to improve SecCM processes
in general.

2.3 SECURITY-FOCUSED CONFIGURATION MANAGEMENT CONCEPTS

This section describes the fundamental concepts relevant to the practice of SecCM within an
organization. Recognizing that organizations have widely varying missions and organizational
structures, there may be differences in the way that SecCM is implemented and managed.

2.3.1 CONFIGURATION MANAGEMENT POLICY AND PROCEDURES

The development of documented SecCM policy communicates senior management’s expectations
for SecCM to members of the organization through specific, measurable, and confirmable
objectives. It is a top-down approach which defines what is required and what is not permitted
with respect to using SecCM to manage and control information resources.

While policy defines the objectives for what must be done, procedures describe how the policy
objectives are met through specific actions and results. SecCM procedures are developed to
describe the methodology and tasks for each activity that supports implementation of the SecCM
policy.

Documenting configuration management policy and procedures is performed during the Planning
phase and supports the implementation of NIST [SP 800-53] control CM-1 Configuration
Management Policy and Procedures.

2.3.2 CONFIGURATION MANAGEMENT PLAN

The Configuration Management Plan serves to describe how SecCM policy is to be implemented.
The SecCM Plan may be written to apply to an entire organization, or it may be localized and
tailored to a system or a group of systems supporting a mission/business process within the
organization. The SecCM Plan may take the form of an all-inclusive, stand-alone document that
describes all aspects of SecCM or may be contained within more broadly defined CM procedures.
A SecCM Plan may also take the form of a set of documents and appendices that taken together
describe all aspects of SecCM. Finally, the SecCM Plan may take the form of a set of predefined
data elements in a repository.

The SecCM Plan is produced during the Planning phase and supports the implementation of NIST

11 See NIST [SP 800-137] for more information on information security continuous monitoring.

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[SP 800-53] controls CM-1 Configuration Management Policy and Procedures and CM-9
Configuration Management Plan.

2.3.3 CONFIGURATION CONTROL BOARD

The Configuration Control Board (CCB) is a group typically consisting of two or more individuals
that have the collective responsibility and authority to review and approve changes to an
information system. The group, which represents various perspectives from within the
organization, is chosen to evaluate and approve changes to the system. The CCB is a check and
balance on configuration change activity, assuring that changes are held to organizationally
defined criteria (e.g., scope, cost, impact on security) before being implemented.

The CCB may be less formal for systems which have limited size, scope, and criticality in the
context of the mission of the organization. The organization determines the size and formality of
the CCB that is appropriate for a given system (or systems) within the organization.

The CCB establishment is part of the Planning phase of SecCM and supports the implementation of
NIST [SP 800-53] control CM-3 Configuration Change Control.

2.3.4 COMPONENT INVENTORY

The component inventory is a descriptive record of the components within an organization down
to the system level. A consolidated representation of the components within all of the systems
within an organization allows the organization to have greater visibility into and control over its
systems, facilitating the implementation, operation, and management of a security program. The
organization determines the level of granularity required for tracking the components for SecCM.
For example, one organization may track a workstation (with all peripherals) as a single
component while another may document each peripheral as a separate component in the inventory.

Each component is associated with only one system and the authority over and responsibility for
each component is with only one system owner (i.e., every item in the component inventory falls
within the authorization boundary of a single system).

Creating an inventory of system components is part of the Planning phase of SecCM and supports
the implementation of the NIST [SP 800-53] control CM-8 System Component Inventory.

2.3.5 CONFIGURATION ITEMS

In the context of SecCM of systems, a configuration item (CI) is an aggregation of system
components that is designated for configuration management and treated as a single entity
throughout the SecCM process. The CI is identified, labeled, and tracked during its life cycle –
the CI is the target of many of the activities within SecCM, such as configuration change control
and monitoring activities. A CI may be a specific system component (e.g., server, workstation,
router, application), a group of system components (e.g., group of servers with like operating
systems, group of network components such as routers and switches, an application or suite of
applications), a non-component object (e.g., firmware, documentation), or a system as a whole.
CIs give organizations a way to decompose the system into manageable parts whose
configurations can be actively managed.

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The purpose of breaking up a system into CIs is to allow more granularity and control in
managing the secure configuration of the system. The level of granularity varies among
organizations and systems and is balanced against the associated management overhead for each
CI. In one organization, it may be appropriate to create a single CI to track all of the laptops
within a system, while in another organization, each laptop may represent an individual CI.

Identification of the configuration items that compose a system is part of the Planning phase of
SecCM and supports the implementation of NIST [SP 800-53] control CM-3 Configuration
Change Control.

2.3.6 SECURE CONFIGURATIONS OF INFORMATION SYSTEMS

Configurations represent the possible states in which a system and its components can be
arranged. Secure configurations are designed to reduce the organizational security risk from
operation of a system, and may involve using trusted or approved software loads, maintaining
upto-date patch levels, applying secure configuration settings of the IT products used, and
implementation of endpoint protection platforms. Secure configurations for a system are most
often achieved through the application of secure configuration settings to the IT products (e.g.,
operating systems, databases, etc.) used to build the system. For example, a secure configuration
for selected IT products used within the system or organization could incorporate the principle of
least functionality. Least functionality helps to minimize the potential for introduction of security
vulnerabilities and includes, but is not limited to, disabling or uninstalling unused/unnecessary
operating system (OS) functionality, protocols, ports, and services, and limiting the software that
can be installed and the functionality of that software.

Implementing secure configurations is part of the Identifying and Implementing Configurations

phase of SecCM and supports the implementation of NIST [SP 800-53] controls CM-6
Configuration Settings and CM-7 Least Functionality.

2.3.7 BASELINE CONFIGURATION

A baseline configuration is a set of specifications for a system, or Configuration Item (CI) within a
system, that has been formally reviewed and agreed on at a given point in time, and which can be
changed only through change control procedures. The baseline configuration is used as a basis for
future builds, releases, and/or changes.

The baseline configuration of a system may evolve over time depending on the stage of the system
development life cycle (SDLC). Early in the SDLC when a system is being initiated and acquired,
the baseline may be a set of functional requirements. As the system is developed and
implemented, the baseline may expand to include additional configuration items such as the
technical design, the software load, the architecture, and configurations of the system and its
individual components. A baseline configuration may also represent different information
computing environments such as development, test, and production.

When a new baseline configuration is established, the implication is that all of the changes from the
last baseline have been approved. Older versions of approved baseline configurations are
maintained and made available for review or rollback as needed.

Developing and documenting the baseline configuration for a system is part of the Identifying and

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Implementing Configurations phase of SecCM and supports the implementation of NIST [SP 800-
53] control CM-2 Baseline Configuration.

2.3.8 CONFIGURATION CHANGE CONTROL

Configuration change control is the documented process for managing and controlling changes to
the configuration of a system or its constituent CIs. Configuration change control for the system
involves the systematic proposal, justification, implementation, test/evaluation, review, and
disposition of changes to the system, including upgrades and modifications. Configuration change
control is applied to include changes to components of the system, changes to the configuration
settings for information technology products, emergency/unscheduled changes, and changes to
remediate flaws. Changes are controlled from the time the change is proposed to the
implementation and testing of the change. Each step in the change process is clearly articulated
along with the responsibilities and authorities of the roles involved.
Configuration change control falls under the Controlling Configuration Changes phase of SecCM
and supports the implementation of NIST [SP 800-53] control CM-3 Configuration Change
Control and CM-5 Access Restrictions for Change.

2.3.9 SECURITY IMPACT ANALYSIS

Security impact analysis is the analysis conducted by qualified staff within an organization to
determine the extent to which changes to the system affect the security posture of the system.
Because systems are typically in a constant state of change, it is important to understand the
impact of changes on the functionality of existing security controls and in the context of
organizational risk tolerance. Security impact analysis is incorporated into the documented
configuration change control process.

The analysis of the security impact of a change occurs when changes are analyzed and evaluated for
adverse impact on security, preferably before they are approved and implemented, but also in the
case of emergency/unscheduled changes. Once the changes are implemented and tested, a security
impact analysis (and/or assessment) is performed to ensure that the changes have been
implemented as approved, and to determine if there are any unanticipated effects of the change on
existing security controls.

Security impact analysis is performed as a part of the Controlling Configuration Changes phase of
SecCM and supports the implementation of NIST [SP 800-53] control CM-4 Security Impact
Analysis.

2.3.10 CONFIGURATION MONITORING

Configuration monitoring involves activities to determine whether systems are configured in
accordance with the organization’s agreed-upon baseline configurations, and whether the
components identified within the system are consistent with the component inventory being
maintained by the organization.

Configuration monitoring helps to ensure that SecCM controls are operating as intended and are
providing effective security while supporting adherence to SecCM policies and procedures.
Configuration monitoring may also help to motivate staff members to perform SecCM activities
in accordance with policies and procedures. Additionally, configuration monitoring supports

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organizations in their efforts to conform to the Risk Management Framework.12 Information

gathered during configuration monitoring can be used to support overall continuous monitoring
activities13 including ongoing assessments of specific controls and updates to documentation such
as System Security Plans, Security Assessment Reports, and Security Status Reports. Automation
capabilities, such as those defined by SCAP, can be used to automate assessment activities.

Configuration monitoring is part of the Monitoring phase of SecCM and supports the
implementation of all NIST [SP 800-53] controls in the CM Family.

2.4 SECCM ROLES AND RESPONSIBILITIES

The set of roles (at the organization, mission/business process, and system level) that are relevant to
the SecCM program are defined along with the responsibilities. The responsibilities are in the
context of SecCM only and are not inclusive of other non-SecCM responsibilities the roles may
also have. Typically, SecCM roles and responsibilities include:

Chief Information Officer (CIO)

The CIO designates and/or provides a SecCM Program Manager for the organization and approves
the organizational SecCM plan and policies.

Senior Agency Information Security Officer (SAISO)

The SAISO may act as the SecCM Program Manager for the organization. The SAISO may also
provide staff with security expertise to serve on the CCB and/or to conduct security impact
analyses. Organizations may also refer to this position as the Chief Information Security Officer
(CISO).

Authorizing Official (AO)

The AO manages or participates in the CCB for systems s/he authorizes and may provide technical
staff to conduct and/or review security impact analyses. The AO coordinates with the Risk
Executive (Function) on SecCM issues and makes the final determination whether or not a given
change or set of changes continues to be an acceptable security risk.

System Owner
The system owner identifies, defines, and ensures implementation of the aspects of SecCM for
the information system that have not been defined by the organization of which the system is a
part. The system owner also ensures implementation of organizational-level SecCM requirements
for the system.

SecCM Program Manager

The SecCM Program Manager develops SecCM policies and procedures, provides direction, and
oversees the implementation of the SecCM program for the organization and/or system level
SecCM program. The SecCM Program Manager may be the SAISO (or someone designated by

12 See NIST [SP 800-37] for more information on the RMF.

13 See NIST [SP 800-137] for more information on continuous monitoring (Monitor Step in the RMF).

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the SAISO or the CIO) at the organizational level or the system owner (or someone designated by
the system owner) at the system level.

System Security Officer (SSO)

The SSO assists the system owner with implementation of SecCM for the system, conducts
configuration monitoring activities (reporting and analysis), and may serve on the CCB.

System Administrator (SA)

The SA implements agreed-upon secure baseline configurations, incorporates secure configuration
settings for IT products, and assists with security impact analyses and configuration monitoring
activities as needed. In addition, the SA may be included in the process for determining the
appropriate baseline configuration for each CI and may serve on the CCB. SAs are also
responsible for complying with SecCM policies and implementing/following SecCM procedures.

System/Software Developer
The developer ensures that secure configuration settings are built into applications in accordance
with security requirements and assists with security impact analyses and configuration monitoring
activities as needed. In addition, the developer may be included in the process for determining the
appropriate baseline configuration for relevant CIs and may serve on the CCB. Developers are also
responsible for complying with SecCM policies and implementing/following SecCM procedures.

System User (SU)

The SU initiates change requests, assists with functional testing, and complies with SecCM
requirements.

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CHAPTER THREE THE PROCESS

IMPLEMENTATION AND APPLICATION OF SECURITY-FOCUSED CONFIGURATION MANAGEMENT

T to systems within an organization. The goal of SecCM activities is to manage and monitor
his chapter describes the process of applying security-focused configuration management
the configurations of systems to achieve adequate security and minimize organizational
risk while supporting the desired business functionality and services.

The following sections discuss activities that occur within each of the four phases of SecCM.
Some of the activities may be more efficiently performed at the organizational or
mission/business process level (i.e., applying to more than one information system), while other
activities may be more efficiently performed at the system level (i.e., applying to a single
system). Each organization determines what activities are conducted at the organizational or
mission/business process level and what activities are conducted at the system level in
accordance with organizational management requirements. Appendix G provides flow charts of
the SecCM activities described here. The flow charts are intended to serve as tools for
organizations to draw upon for developing their own SecCM processes.

3.1 PLANNING
This section describes various SecCM planning activities at the organizational and system level.

3.1.1 PLANNING AT THE ORGANIZATIONAL LEVEL

The following subsections describe the planning phase activities that are normally conducted at
the organizational level (or the mission/business process level). The subsections are listed in the
order in which the planning activities typically occur. As always, organizations have flexibility in
determining which activities are performed at what level and in what order. Planning at the
organizational level includes SecCM program documented policies and procedures that provide
direction and support for managing configurations of individual systems within the organization.

Establish Organization-wide SecCM Program

The practice of SecCM for ensuring adequate security and facilitating the management of risk is
most effectively realized if it is implemented in a consistent manner across the organization.
Some SecCM activities are more effective when performed at the organizational level, with
responsibility assigned to the organization-wide SecCM program.

For organizations with varied and complex enterprise architecture, implementing SecCM in a
consistent and uniform manner across the organization requires organization-wide coordination
of resources. A senior management-level program manager designated to lead and oversee the
organization-wide SecCM program can provide this type of coordination. For many large
organizations, dedicated staff may be needed. For smaller organizations, or those with funding or
resource constraints, the organization-wide SecCM program may be implemented by senior
management-level staff that meet as a group to determine the SecCM-related activities for the
organization.

The SecCM program manager provides knowledge and direction in the form of policies and
procedures, communications, training, defined roles and responsibilities, support, oversight of
program activities, and coordination with stakeholders. An organization-wide SecCM program

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also demonstrates management commitment for the effort. This commitment from the top of the
organization is communicated throughout the organization down to the individual system owners.

The SecCM program manager facilitates communications regarding SecCM policies, procedures,
issues, etc., within the organization. Consideration is given to implementation of a security
information management console or “dashboard” to communicate basic project and operational
information to stakeholders in language they understand. The SecCM program manager also
considers other vehicles for communication such as Web site updates, emails, and newsletters to
share milestones, measures of value, and other SecCM-related news with stakeholders.

Primary Roles: SecCM Program Manager

Supporting Roles: SAISO (if s/he is not the SecCM Program Manager); CIO; AO

Expected Input: Organizational risk tolerance; organizational security requirements; applicable

laws, regulations, policies, etc. from higher authorities

Expected Output: Functional organization-wide SecCM program

Develop Organizational SecCM Policy

The organization is typically responsible for defining documented policies for the SecCM
program. The SecCM program manager develops, disseminates, and periodically reviews and
updates the SecCM policies for the organization. The policies are included as a part of the overall
organization-wide security policy. The SecCM policy normally includes the following:

• Purpose – the objective(s) in establishing organization-wide SecCM policy;

• Scope – the extent of the enterprise architecture to which the policy applies;
• Roles – the roles that are significant within the context of the policy;
• Responsibilities – the responsibilities of each identified role;
• Activities – the functions that are performed to meet policy objectives;
• Common secure configurations – federal and/or organization-wide standardized
benchmarks for configuration settings along with how to address deviations; and
• Records – the records of configuration management activities to be maintained; the
information to be included in each type of record; who is responsible for writing/keeping
the records; and procedures for protecting, accessing, auditing, and ultimately deleting
such records.

SecCM policy may also address the following topics:

• SecCM training requirements;

• Use of SecCM templates;
• Use of automated tools;
• Prohibited configuration settings; and
• Requirements for inventory of systems and components.

The SecCM policy emphasizes management commitment, clarifies the required level of
coordination among organizational entities, and defines the configuration monitoring approach.

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Primary Roles: SecCM Program Manager

Supporting Roles: SAISO (if s/he is not the SecCM Program Manager); CIO; AO

Expected Input: Organizational risk tolerance; organizational security requirements; applicable

laws, regulations, policies, etc. from higher authorities

Expected Output: Documented SecCM policies

Develop Organizational SecCM Procedures

The organization typically establishes and maintains common procedures for security-focused
configuration management activities; however, some SecCM procedures may require
development at the system level. Organizations may also provide hybrid procedures, i.e., the
organization establishes procedures that contain parameters to be defined at the system level. In
any case, the procedures are documented and disseminated to relevant staff, and in accordance
with organizational policy. SecCM procedures address the following, as applicable:

Templates - Establishes templates related to SecCM that integrate the organization-wide SecCM
policy and procedures and allow individual system owners to fill in information specific to their
system. Templates may be developed for a SecCM Plan, system-specific procedure(s), change
requests, security impact analyses, reporting on SecCM, etc. Templates may also be developed to
apply specifically to low, moderate, or high-impact systems.14 Sample templates are provided in
Appendices D and E.

Component Inventory – Describes how components are to be managed within the inventory (e.g.,
how new components are added to the inventory, what information about each component is
tracked, and how updates are made including removal of retired components). If automated tools
are to be used, factors such as how often they will run, who will administer them, who will have
access, and how they will be audited are described.

Baseline Configuration – Identifies the steps for creation of a baseline configuration, content of
the baseline configuration, approval of the initial baseline configuration, maintenance of the
baseline configuration (i.e., when it should be updated and by whom), and control of the baseline
configuration. If applicable, requirements from higher regulatory bodies are considered and
integrated when defining baseline configurations (e.g., requirements from OMB memos, laws
such as Health Insurance Portability and Accountability Act (HIPAA), etc.).

Common Secure Configurations – Identifies commonly recognized and standardized secure

configurations to be applied to configuration items. The common secure configurations specified
in the procedure are derived from established federal, organizational, or industry specifications
(the National Checklist Program contains references to common secure configurations such as the
United States Government Configuration Baseline (USGCB), Defense Information System

14Information systems categorized in accordance with [FIPS 199] and the security impact level derived from the
categorization in accordance with [FIPS 200].

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Agency (DISA) Security Technical Implementation Guides (STIGs), Center for Internet Security
(CIS) Benchmarks, etc.). Where possible, common secure configurations use SCAP-expressed
content. Deviations from the common secure configurations are also addressed (e.g.,
identification of acceptable methods for assessing, approving, documenting, and justifying
deviations to common secure configurations, along with identification of controls implemented to
mitigate risk from the deviations), in the event that the configuration for a given system must
diverge from the defined configuration due to mission requirements or other constraints.

Patch Management – Defines how an organization’s patch management process is integrated into
SecCM, how patches are prioritized and approved through the configuration change control
process, and how patches are tested for their impact on existing secure configurations. Also
defines how patches are integrated into updates to approved baseline configurations and how
patch implementation is controlled (access controls, etc.).

Configuration Change Control – Identifies the steps to move a configuration change from its
initial request to eventual release into the operational environment. The procedure includes, but is
not limited to:

• Change request and approval procedures;

• Criteria to determine the types of changes that are preapproved or exempt from
configuration control such as vendor-provided security patches, updated antivirus
signatures, creation or deletion of users, replacement of defective peripherals,
motherboard or hard drives, etc.;15
• Security impact analysis procedures including how and with what level of rigor analysis
results are to be documented and requirements for post-implementation review to
confirm that the change was implemented as approved and that no additional security
impact has resulted;
• Criteria to determine whether a change is significant enough to trigger consideration of
system reauthorization activities;
• Review for consistency with organizational enterprise architecture;
• Establishment of a group that approves changes (e.g., a Configuration Control Board);
• Requirements for testing of changes for submission to the CCB (i.e., the format and types
of information to present to the CCB such as a test plan, schedule, and test results);
• If change approvals at the system level are permitted, criteria for elevating a change
request from system level approval to organizational approval (e.g., the change will
affect other organizational systems, the change will require a system outage that could
adversely impact the mission, etc.);
• Requirements for testing of changes prior to release into the operational environment;
• Requirements for access restrictions for change (i.e., who can make change to the
information system and under what circumstances);
• Requirements for rollback of changes in the event that problems occur;
• Requirements for management of unscheduled changes (e.g., changes needed for critical
flaw remediation) that are tailored to support expedited reviews and approvals; and
• Requirements for retroactive analysis, testing, and approval of changes that are
implemented outside of the change control process.

15 Preapproved changes are still tested and documented prior to implementation.

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Help Desk Procedures – Describes how change requests originating through the help desk are
recorded, submitted, tracked, and integrated into the configuration change control process.

SDLC Procedures – Describes how SecCM is used to manage and control system configurations
and changes within the organizationally defined SDLC process and throughout the life cycle of a
system.

Monitoring – Describes how monitoring activities and related reports are applied to assess the
secure state of the system, and how to identify when the actual configuration becomes different in
some way from the approved baseline configuration (i.e., unauthorized change) within a system
through analysis of monitoring and reporting activities.

Media Library Procedures – Describes management of the media library and includes naming
conventions for media, labeling procedures (name/version, date created, retention period, owner,
date for destruction, impact or classification level), tracking media, access controls, protections
for media integrity (e.g., checksums), inventory checks, capacity planning, and archiving of
media.

Primary Roles: SecCM Program Manager; System Owners. Note: SecCM Program Managers and
System Owners both have responsibility in determining which procedures are needed at their
respective levels and how they are documented (e.g., as several separate procedures, as a single
procedure, as part of the SecCM plan)

Supporting Roles: SAISO or equivalent (if s/he is not the SecCM Program Manager); SSO; SA;
System User

Expected Input: Organizational policies organizational risk tolerance; organizational security

requirements; applicable laws, regulations, policies, etc. from higher authorities

Expected Output: Documented SecCM procedures

Develop the SecCM Monitoring Strategy

SecCM monitoring verifies that the SecCM process is effective with respect to maintaining the
security posture of the organization and adherence to baseline configurations and SecCM policy.
The SecCM monitoring strategy is based on the risk tolerance of, and security requirements for,
the organization. The SecCM monitoring strategy is consistent with, and provides input to, the
organization’s overall continuous monitoring strategy. The organization typically develops the
SecCM monitoring strategy; however, organizations have the flexibility to develop some or all of
the SecCM monitoring strategy at the mission/business process or system level.
A schedule for SecCM monitoring and associated reporting is established as part of the strategy.
Scheduled and ad hoc assessments are included within the strategy. The monitoring schedule may
coincide with scheduled releases such that assessments are performed before and after
deployments. Ad hoc assessments may also be conducted so that staff does not become lax in
between scheduled assessments. Additionally, the schedule includes provisions for reviewing and
revising the SecCM monitoring strategy to ensure that the strategy continues to meet
organizational security requirements.

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See Section 3.4 for more information on SecCM monitoring.

Primary Roles: SecCM Program Manager

Supporting Roles: SAISO or equivalent (if s/he is not the SecCM Program Manager); System
Owner; SSO

Expected Input: SecCM policy and procedures, overall organizational continuous monitoring
policy and procedures; organizational risk tolerance; organizational security requirements
Expected Output: Strategy and schedule for configuration monitoring and reporting

Define the Types of Changes That Do Not Require Configuration Change Control
In the interest of resource management, the organization may wish to designate the types of
changes that are preapproved (i.e., changes that are not sent to the CCB for approval)15 and
changes that are typically not included under configuration control (i.e., changes that are
completely exempt from SecCM). Vendor-provided security patches, updated antivirus
signatures, and replacement of defective peripherals or internal hardware are examples of
changes that may be preapproved. Database content updates, creating/removing/updating
accounts, and creation or deletion of user files are examples of changes that are typically exempt
from configuration change control.

Primary Roles: SecCM Program Manager; System Owner

Supporting Roles: SAISO (if s/he is not the SecCM Program Manager); AO; SSO; SA;
System/Software Developers

Expected Input: SecCM policies and procedures; types of changes that typically occur within the
organization and/or system

Expected Output: Record of the types of changes that are exempt from configuration control;
record of the types of changes that are configuration controlled

Develop SecCM Training

SecCM is a fundamental part of an organizational security program, but often requires a change
in organizational culture. Staff is provided training to ensure their understanding of SecCM
policies and procedures. Training also provides a venue for management to communicate the
reasons why SecCM is important. SecCM training material is developed covering organizational
policies, procedures, tools, artifacts, and monitoring requirements. The training may be
mandatory or optional as appropriate and is targeted to relevant staff (e.g., system administrators,
system/software developers, system security officers, system owners, etc.) as necessary to ensure
that staff has the skills to manage the baseline configurations in accordance with organizational
policy.

Primary Roles: SecCM Program Manager; System Owner

Supporting Roles: SAISO (if s/he is not the SecCM Program Manager); CIO; AO; SSO

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Expected Input: SecCM policies and procedures

Expected Output: Training materials and/or courses scheduled as necessary

Identify Approved IT Products

Many organizations establish a list of approved hardware and software products (e.g., a software
whitelist) for use across the organization.). System owners select and use products from the
approved list without the need for explicit approval. Depending upon organizational policy,
additional products required for a particular system may need to be approved by the CCB for that
system; alternatively, a product used may need to be added to the organizationally controlled and
approved IT products list. Some organizations may also provide a buying service or similar
purchasing/contracting vehicle from which preapproved products may be purchased or are
required to be purchased.

Primary Roles: SecCM Program Manager and/or the Configuration Control Board; System
Owner

Supporting Roles: SAISO (if s/he is not the SecCM Program Manager); AO; SSO

Expected Input: SecCM policies and procedures; organizational security requirements;

acquisition/buying service information

Expected Output: List of approved IT Products for the organization

Identify Tools
Managing the myriad configurations found within system components has become an almost
impossible task using manual methods like spreadsheets. When possible, organizations look for
automated solutions which, in the long run, can lower costs, enhance efficiency, and improve the
reliability of SecCM efforts.

In most cases, tools to support activities in SecCM phases two, three, and four are selected for use
across the organization by SecCM program management, and system owners are responsible for
applying the tools to the SecCM activities performed on each system. Similarly, tools and
mechanisms for inventory reporting and management may be provided to system owners by the
organization. In accordance with federal government and organizational policy, if automated tools
are used, the tools are Security Content Automation Protocol (SCAP)-validated to the extent that
such tools are available. SCAP is described in more detail in Section 3.5.

If not provided by the organization, tools are identified and deployed to support SecCM at the
system level. When possible, existing SecCM tools from within the organization are leveraged to
support consistent organization-wide SecCM practices, centralized reporting, and cost efficiency.
Leveraging existing tools may require them to be installed and configured to function on
individual systems. Tool installation and configuration usually requires that accounts be set up,
administrators identified, schedules determined, the appropriate baseline configurations set up,
and possibly installation of a client on each component to be configuration-controlled. If the tool
has already been deployed within the organization, instructions for installation, configuration, and
deployment are available or easy to produce if needed.

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There are a wide variety of configuration management tools available to support an organization’s
SecCM program. At a minimum, the organization considers tools that can automatically assess
configuration settings of system components. To the greatest extent possible, select automated
tools that can scan different system components (e.g., Web server, database server, network
devices, etc.) running different operating systems, identify the current configuration settings, and
indicate where the current settings are noncompliant with policy. Automated configuration
management tools import settings from one or more common secure configurations and then
allow for tailoring the configurations to the organization’s security and mission/functional
requirements.

Tools that implement and/or assess configuration settings are evaluated to determine whether they
include requirements such as:

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Ability to pull information from a variety of sources (different type of components,

different operating systems, different platforms, etc.);
• Use of standardized specifications such as Extensible Markup Language (XML) and
SCAP;
• Integration with other products such as help desk, inventory management, and incident
response solutions;
• Vendor-provided support (patches, updated vulnerability signatures, etc.);
• Compliance with applicable federal laws, Executive Orders, directives, policies,
regulations, standards, and guidelines and link vulnerabilities to NIST [SP 800-53]
controls;
• Standardized reporting capability (e.g. SCAP, XML) including the ability to tailor output
and drill down; and
• Data consolidation into Security Information and Event Management (SIEM) tools and
dashboard products.

Organizations may consider implementation of an all-in-one solution for configuration

management. For example, various configuration management functions are included in
products for managing servers, workstations, desktops, and services provided by applications.
The products may include functions such as:

• Inventory/discovery of system components;

• Software distribution;
• Patch management;
• Operating system deployment;
• Policy management;
• Migration to new baseline configuration; and
• Backup/recovery.

Primary Roles: SecCM Program Manager and/or the Configuration Control Board; System
Owner

Supporting Roles: SAISO (if s/he is not the SecCM Program Manager); CIO; AO; SSO; SA

Expected Input: SecCM policies and procedures; organizational and system security requirements;
acquisition/buying service information

Expected Output: Tools to be implemented in support of SecCM

Establish Configuration Test Environment and Program

Some organizations may wish to establish and maintain a configuration test environment and
program for testing IT products, tools, and proposed changes to them in a centrally managed
environment isolated from the production environment. The test environment is used for various
types of testing to include:

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• IT products proposed for approval and use within the organization;

• Configuration settings for approved IT products;
• Patches issued by suppliers prior to their rollout through the organization;
• Validation of tools that detect unapproved configuration settings;
• Verification of testing processes to validate approved configuration settings;
• Security impact analyses; and
• Other configuration-related changes.

NIST [SP 800-115], Technical Guide to Information Security Testing and Assessment, provides
guidelines on how to establish and conduct an effective information security functional testing
program. Specific guidelines are provided for system configuration review and vulnerability
scanning which may be directly applied to the configuration test program.

Primary Roles: SecCM Program Manager; System Owner

Supporting Roles: SAISO (if s/he is not the SecCM Program Manager); CIO; AO; SSO; SA

Expected Input: SecCM policies and procedures;

Expected Output: Isolated test environment and program in support of SecCM

3.1.2 PLANNING AT THE SYSTEM LEVEL

The following subsections describe the planning phase activities that are normally completed at the
system level. The subsections are listed in the order in which the planning activities typically
occur. As always, organizations have flexibility in determining which activities are performed at
the organizational level and which activities are performed at the system level, and in what order.
The system-level planning phase results in a completed SecCM Plan, an established
Configuration Control Board, an accurate system component inventory, and defined configuration
items for the system.

Develop SecCM Plan for Information System

The primary goal of the SecCM Plan is to document or provide references to system-specific
SecCM-related information. The organization may define a master SecCM Plan and provide
templates that require a subset of the SecCM Plan to be documented for each system, or the system
owner may be required to define the system SecCM Plan in its entirety. Regardless of the format, a
SecCM Plan is completed at the system level and typically covers the following topics:

• Brief description of the subject system;

• System component inventory;
• System configuration items;
• Rigor to be applied to managing changes to configuration items (e.g., based on the impact
level of the system16);
• Identification of the roles and responsibilities;

16 Systems categorized in accordance with [FIPS 199] and [FIPS 200].

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• Identification and composition of the group or individual(s) that consider change requests;
• Configuration change control procedures to be followed (including references to
organization-wide procedures);
• Identification on the location where SecCM artifacts (change requests, approvals, etc.) are
maintained (e.g., media libraries);
Access controls employed to control changes to configurations;
Access controls to protect SecCM artifacts, records, reports, etc. (e.g., commensurate with
system impact level;
• SecCM tools that are used;
• Identification of common secure configurations (e.g., USGCB, DISA STIGs, National
Checklist Program, etc.) to be used as a basis for establishing approved baseline
configurations for the system;
• Deviations from common secure configurations for configuration items including
justifications;
• Criteria for approving baseline configurations for the system; and
• Handling of exceptions to the SecCM plan (e.g., location of SecCM artifacts, configuration
change control procedures, etc.).

The SecCM Plan may have various representations; it could be an actual document, a collection
of data stored within a SecCM tool, or a variety of other representations. SecCM procedures may
be covered separately or the SecCM plan may incorporate SecCM procedures. The SecCM Plan
may also be instantiated at the system level from organizational templates. The level of detail for
the SecCM plan is commensurate with the impact level of the subject system.

SDLC Phase: Begin in Initiation phase, fine tune in Development/Acquisition phase, finalize in
Implementation/Assessment phase

Primary Roles: System Owner

Supporting Roles: SSO; SA; System/Software Developer; System User

Expected Input: Organizational SecCM policies, procedures, and templates

Expected Output: System-level SecCM plan, including system-level procedures

Create or Update System Component Inventory

A system component is a discrete identifiable IT asset that represents a building block of a system.
An accurate component inventory is essential to record the components that compose the system.
The component inventory helps to improve the security of the system by providing a
comprehensive view of the components that need to be managed and secured. All system
components are tracked from acquisition to retirement as part of the organization’s SDLC process.
The system component inventory can be represented as:

System Component Inventory = {SC1, SC2, … SCn},

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where n is greater than or equal to one, and SC represents a system component within the
organization.

Every organizational component is included within the authorization boundary of one, and only
one, system and is documented and tracked in an inventory which reflects the association with the
system under which it is managed (i.e., an component associated with a system is included in that
system component inventory). A component may support systems that are not within the same
authorization boundary (i.e., such as a server that supports several Web applications or virtual
machines); however, the owners of the supported systems have neither authority over, nor
responsibility for, the supporting component, and thus the component would not be included in the
component inventories of the supported systems.

The component inventory is populated through a process of discovery. Discovery, which may be
manual or automated, is the process of obtaining information on system components that
compose the systems within the organization. The organization typically determines the types and
granularity of the components (peripherals versus workstations, routers, etc.) that are to be
identified within the inventory. In most organizations, it is impractical to manually collect this
information for inclusion in the inventory or for analysis against the authorized inventory. The use
of automated tools for discovery, analysis, and management of component inventories is
generally a more effective and efficient means of maintaining component inventories. Still, it is
important to note that even with automated inventory management tools, it may still be necessary
to enter some component inventory data elements manually. Examples include, but are not
limited to, organizational unique identifiers, system association (depending on network
configuration, whether the inventory management tool installation is at the organizational level or
system level, etc.), system/component owner, administrator, or user, configuration item
association, or type of component. Tools that support inventory management are usually
database-driven applications to track and manage system components within a given
environment. Once an inventory is established, automated tools are often used to detect the
removal or addition of components. Some inventory management tools allow for expanded
monitoring of components through the use of built-in hooks in the OS, installation of agents on
each component, or Application Programming Interfaces. With this functionality, the inventory
management system can monitor changes in the component’s configuration and report the results
to specified staff.

Inventory management tools are SCAP-validated, to the extent such tools are available. When
purchasing a commercial off-the-shelf (COTS) or customized inventory management application,
organizations are well advised to include SCAP requirements in requests for proposals, purchase
agreements, contracts, etc. Specifying components by a commonly recognized identifier such as
the Common Platform Enumeration (CPE) can facilitate interchange of data among
SCAPcompliant tools.17 Use of commonly recognized identifiers from the start of the acquisition
process provides a common taxonomy for the component inventory to track components
throughout the entire SDLC (i.e., from acquisition to retirement).

A system component inventory adds real value to SecCM when each item in the inventory is
associated with information that can be leveraged for determination of approved configuration

17 See Section 3.5 for more information on SCAP.

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baselines, configuration change control/security impact analysis, and monitoring/reporting. Some
data elements18 typically stored for each component in the system component inventory include:

• Unique Identifier and/or Serial Number;

• System of which the component is a part;19
Type of component (e.g., server, desktop, application);
Manufacturer/Model information;
• Operating System Type and Version/Service Pack Level (preferably using the appropriate
Common Platform Enumeration Name);
• Presence of virtual machines;19
• Application Software Version/License information (preferably using the appropriate
Common Platform Enumeration Name);
• Physical location (e.g., building/room number);
• Logical location (e.g., IP address);
• Media Access Control (MAC) address;
• Owner;
• Operational status;
• Primary and secondary administrators; and
• Primary user (if applicable).

Some additional data elements may also be recorded to facilitate SecCM, such as:

• Status of the component (e.g., operational, spare, disposed, etc.);

• Relationships to other system components in the inventory;19
• Relationships to/dependencies on other systems; 19
• Other systems supported by this component;19
• Identification of any Service-Level Agreements (SLA) that apply to the component;
• Applicable common secure configurations;
• Configuration item (CI) of which it is a part;
• Controls supported by this component; and
• Identification of any incident logs that apply to the component.

SDLC Phase: Begin in Development/Acquisition phase, finalize in Implementation/Assessment

phase, ongoing updates during Operations and Maintenance phase

Primary Roles: System Owner

Supporting Roles: SSO; SA; SU

18 See [NISTIR 7693] for information on specifications for data elements.

19A single system component may support additional information systems. For example, a server in a server farm may host
several virtual machines, and each virtual machine in turn may support a Web application. When such a server suffers a service
interruption or compromise, the information stored in the component inventory about the uses of that server can assist in the
quick identification of the applications that are impacted so that appropriate actions can be taken. Additionally, virtual machines
are included as separate items in system component inventories and are under configuration control. Identifying virtual machines

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Expected Input: Organizational and/or system-level tools, organizational and/or system-level

policies and procedures

Expected Output: Accurate system component inventory

Determine Configuration Items

When implementing configuration management, the system owner determines how to best
decompose the system into one or more configuration items (CIs). CIs may be one or a group of
system components, documents, network diagrams, scripts, custom code, and various other
elements that compose the system and which require configuration management.

A system can be represented as a set of one or more CIs as follows:

and including them in the CM process is important in managing overall organizational risk and system-level security.

System = {CI1, CI2, …CIn} where n is greater than or equal to 1.

There is a one-to-many relationship between systems and CIs. Thus, each system is composed of
one or more CIs and each CI is part of one, and only one, system. In cases where an organization
establishes and maintains a common configuration baseline for a given platform (e.g., Windows
version X, Linux version Y) or component type (e.g., workstation, server, router) each individual
system inherits the common configuration baseline as a CI, or part of a CI, for that system. The
CI is managed for use in that system to include any deviations as justified and recorded (See
Section 3.2.2.iii). The point is that a CI is owned and managed as part of only one system
regardless of the common configuration baseline source.

A CI may be composed of one or more system components (SCs) (e.g., server, workstation, router,
application), one or more non-component (NC) system objects (e.g., documentation, diagrams,
firmware), or some combination thereof as indicated in the following representations:

i. CIA = {SC1, SC2, …SCn} where n is greater than or equal to one; ii. CIB = {NC1,
NC2, …NCn} where n is greater than or equal to one; and/or iii. CIC = {SC1, SC2, …SCn
+ NC1, NC2, …NCn} where n is greater than or equal to one.

For example, a system with a number of servers using similar technology may be taken together
as one CI (as in representation i). System applications (e.g., software applications) may be
represented as one or more CIs (also as in representation i). All documentation for the system
may be included in one CI or each document may be treated as a separate CI (as in representation
ii). Conversely, the system owner may find that it is more expedient to include the servers,
applications running on the servers, and supporting documentation in a single CI (as in
representation iii). When applying representations i or ii, it is important to note that the rigor of
the review and approval of change proposals for one CI (e.g., a CI composed of servers) may be
higher than that applied to another CI (e.g., a CI composed of documentation). Furthermore, CIs
within the same system may be tracked using different tools.

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Every item within the system component inventory is associated with one and only one CI, and
hence, is included within the authorization boundary of a single system.

Each CI is assigned an unambiguous identifier so that it can be uniquely referenced within

SecCM processes. Each CI could have a series of approved baseline configurations as it moves
through its life cycle and is the object of configuration change control. As the CI moves through
its life cycle, the organization manages version numbers for the CI.

A set of data elements is maintained for each CI to define and describe the CI to enable it to be
rebuilt from scratch. The types of information that are associated with a CI may include:

• The system of which the CI is a part;

• Logical and/or physical placement within the system;
• Ownership and management information;
• Inventory of system components that makes up the CI;
• Inventory of documentation that makes up the CI;
• Version numbers for components and non-component objects;
• Relationship to/dependencies on other CIs within the system;
• Information related to custom software used within the CI;
IT products or components common secure configurations; and Any
other information needed to rebuild or reconstitute the CI.

While decomposing a system into a number of CIs may make it easier to manage changes within
the system, it is important to note that when one CI within a system changes, other CIs within the
system may also be affected. Furthermore, approved changes to a CI may result in updates to the
system component inventory.

Another potential type of configuration item that is considered, particularly with respect to
establishment and maintenance of a configuration test program is a CI for SecCM tools and
testing processes. Tools and testing processes used to validate deviations from approved system
baseline configurations are under configuration control to reduce the potential for such testing to
return false positive or false negative results (i.e., subject tools and processes are able to detect
unauthorized configuration settings and are able to successfully recognize approved configuration
settings).

SDLC Phase: Begin in Development/Acquisition phase, finalize in Implementation/Assessment

phase

Primary Roles: System Owner

Supporting Roles: SSO; SA

Expected Input: Organizational and/or system level policies and procedures; system component
inventory; system documents; system diagrams; system scripts; system custom code; any other
system components that require configuration management

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Expected Output: System components and non-component objects grouped into CIs

Relationship between an Information System and Its Configuration Items and Information System
Components
Figure 3-1 depicts the relationship between the system as a whole, individual system components
and non-component objects, and system configuration items (CIs). The system is composed of
numerous individual components and non-component objects as described above. The system
components and non-component objects that require configuration management are grouped into
CIs whose configurations are managed as one. For instance, in Figure 3-1 at the component level
we see numerous individual desktops. At the CI level we see that all the desktops running OS QRS
version 8 have been grouped into one CI and all the desktops running OS XYZ version 5 have
been grouped into another CI. In this way, the system components and non-component objects
with related/similar/identical configuration requirements are configuration-managed as a group
rather than as individual components.

Figure 3-1 – Example of the Relationship between system and its components and CIs

Establish Configuration Control Board (CCB) for the System

A CCB or equivalent group is identified for the review and approval of configuration changes for
the system. The CCB is established through the creation of a charter which defines the authority
and scope of the group and how it should operate. A charter may define the CCB’s membership,
the roles and responsibilities of its members, and whether it reports to an oversight body like an

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Executive Steering Committee or the Risk Executive (Function). A charter also describes the
process by which the CCB operates, including how to handle changes and the range of dispositions
(approved, not approved, on hold, etc.), evaluation criteria, and the quorum required to make
configuration change control-related decisions.

The CCB plays an important role of gatekeeper in deciding which changes may be acted upon
and introduced into a system. The CCB deliberately considers the potential effect of a proposed
change on the functionality and secure state of the system and risk to the mission should the
change be implemented in the context of the risk tolerance established by the organization. By
reviewing each proposed and implemented modification, the CCB ensures that there is a
disciplined, systematic, and secure approach for introducing change. Having a clearly defined
process or framework for the evaluation and approval of change requests, including predefined
evaluation criteria, helps to ensure that each proposed and implemented change is evaluated in a
consistent and repeatable manner balancing security, business, and technical viewpoints.

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Organizational policy may allow flexibility regarding the size and formality of the CCB.
Lowimpact and/or small, uncomplicated systems may require less formality such that the CCB
may be composed of as few as two members (typically the system owner and the SSO). For high-
impact systems and complex moderate-impact systems, the organization may require a CCB that
is composed of at least three individuals, at least one of whom is a system owner or SSO.
Additionally, the organization may determine that it is necessary to formally submit proposed
changes to the CCB and go through formalized reviews and security impact analysis prior to
acceptance and approval.

Regardless of the size and formalism of the CCB for a system, best practices for configuration
change control require that changes to the system be vetted by at least one authorized individual
who is independent of the requestor – in other words, in order to maintain adequate separation of
duties, system administrators, developers, etc., are not given the authority to unilaterally propose
and approve changes to the configuration of a system (excluding changes identified in procedures
as being exempt from SecCM). The vetting activity is recorded in an artifact that can be archived
(e.g., CCB minutes, actions to be taken, assigned responsibilities for actions, reports generated,
approvals/disapprovals and rationale, etc.).

In selecting members of the CCB, an organization considers roles that represent a range of
stakeholders. The viewpoints and expertise of individuals representing the organizational and/or
system mission, information security (system security officers, security architects, etc.),
information technology (e.g., system administrators, network engineers, enterprise architects,
etc.), end users, customers, vendors, etc., are considered for inclusion in the CCB. It is not
necessary that all participants have a voting role in the CCB, but their input may support
improved decision making. For example, vendor participation may be valuable for insight into
product-specific functions, features, or configurations but the vendor is not given a vote on
approval of the change.

SDLC Phase: Begin in Development/Acquisition phase, finalize in Implementation/Assessment

phase

Primary Roles: SecCM Program Manager (if established at the organizational level); system
owner (if established at the system level). Note: If a single CCB serves a number of systems but is
not at the organizational level, the set of system owners for all of the participating systems are
responsible for implementing the CCB

Supporting Roles: SAISO (if s/he is not the SecCM Program Manager); SSO

Expected Input: Organizational and/or system-level policies and procedures

Expected Output: Established Configuration Control Board and charter

3.2 IDENTIFYING AND IMPLEMENTING CONFIGURATIONS

The following subsections describe the Identifying and Implementing Configurations phase
activities. In this phase, the activities are typically completed at the system level following the
applicable organizational and/or system-specific SecCM policy and procedures. The subsections
are listed in the general chronological order in which the configuration activities occur. As

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always, organizations have flexibility in determining which activities are performed at what level
and in what order. Completion of the Identifying and Implementing Configurations phase results
in implementation of a secure configuration baseline for each system and constituent CIs, (i.e.,
each established CI is the object of a documented and approved secure configuration).

3.2.1 ESTABLISH SECURE CONFIGURATIONS

In developing and deploying a system, secure configurations are established for the system and its
constituent CIs. Secure configurations may include:

• Setting secure values (i.e., the parameters that describe how particular automated
functions of IT products behave) including, but not limited to:

o OS and application features (enabling or disabling depending on the specific

feature, setting specific parameters, etc.);
o Services (e.g., automatic updates) and ports (e.g., DNS over port 53);
o Network protocols (e.g., NetBIOS, IPv6) and network interfaces (e.g., Bluetooth,
IEEE 802.11, infrared); o Methods of remote access (e.g.,
SSL, VPN, SSH, IPSEC);
o Access controls (e.g., controlling permissions to files, directories, registry keys,
and restricting user activities such as modifying system logs or installing
applications);
o Management of identifiers/accounts (e.g., changing default account names,
determining length of time until inactive accounts are disabled, using unique user
names, establishing user groups);
o Authentication controls (e.g., password length, use of special characters,
minimum password age, multifactor authentication/use of tokens);
o Audit settings (e.g., capturing key events such as failures, logons, permission
changes, unsuccessful file access, creation of users and objects, deletion and
modification of system files, registry key and kernel changes);
o System settings (e.g., session timeouts, number of remote connections, session
lock); and
o Cryptography (e.g., using [FIPS 140-3]-validated cryptographic protocols and
algorithms to protect data in transit and in storage);

• Applying vendor-released patches in response to identified vulnerabilities, including

software updates;
• Using approved, signed software, if supported;
• Implementing safeguards through software to protect end-user machines against attack
(e.g., antivirus, antispyware, anti-adware, personal firewalls, host-based intrusion
detection systems);
• Applying network protections (e.g., TLS, IPSEC);
• Establishing the location where a component physically and logically resides (e.g.,
behind a firewall, within a DMZ, on a specific subnet, etc.); and
• Maintaining and updating technical specification and design documentation, system
security documentation, system procedures, etc.

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In many cases, organizational policies, in accordance with federal laws, standards, directives, and
orders, establish generally accepted common secure configurations (e.g., National Checklist
Program, DISA STIGs, CIS benchmarks). Configurations identified in the National Checklist
Program Repository20 as well as SCAP-expressed checklists are a source for establishing common
secure configurations. Commercial product developers are also a potential source for common
secure configurations. Deviations from common secure configurations are justified and recorded
(see Section 3.2.2.iii).

In establishing and maintaining secure configurations, organizations consider potential

interoperability conflicts with interconnected systems. Coordination of secure configuration
baselines between system staff and/or the relevant CCB(s) helps ensure synchronization of secure
configurations between interconnected systems to meet desired security and operational
functionality.

If not identified in organizational policies and procedures, the system owner, in coordination with
the SSO, has the responsibility of establishing secure configurations (based on appropriate
common secure configurations, if available) for a system and its constituent CIs. Regardless of
the responsible party, the secure configurations comply with all applicable federal requirements
and are approved in accordance with organizational policy.

SDLC Phase: Begin in Development/Acquisition phase, finalize in Implementation/Assessment

phase

Primary Roles: System Owner; SSO

Supporting Roles: SA; System/Software Developer

Expected Input: Organizational and/or system-level policies and procedures including mandated
or suggested common secure configurations; System Security Plan/ system security requirements;
system/component technical documentation

Expected Output: Initial secure baseline configuration(s) for the system and its CI(s)

3.2.2 IMPLEMENT SECURE CONFIGURATIONS

Implementing secure configurations for IT products is no simple task. There are many IT
products, and each has a myriad of possible parameters that can be configured. In addition,
organizations have mission and business process needs which may require that IT products be
configured in a particular manner. To further complicate matters, for some products, the
configuration settings of the underlying platform may need to be modified to allow for the
functionality required for mission accomplishment such that they deviate from the approved
common secure configurations.

Using the secure configuration previously established (see Section 3.2.1) as a starting point, the
following structured approach is recommended when implementing the secure configuration:

20 NIST [SP 800-70] provides information on the National Checklist Program and Repository. Also see

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i. Prioritize Configurations
In the ideal environment, all IT products within an organization would be configured to the
most secure state that still provided the functionality required by the organization.
However, due to limited resources and other constraints, many organizations may find it

https://www.nist.gov/programs-projects/national-checklist-program, which includes checklists from multiple authoritative

sources including DISA STIGs, CIS Benchmarks, and commercial providers; and https://nvd.nist.gov/ncp/repository for
information on the repository.
necessary to prioritize which systems, IT products, or CIs to target first for secure
configuration as they implement SecCM.

In determining the priorities for implementing secure configurations in systems, IT

products, or CIs, organizations consider the following criteria:

• System impact level – Implementing secure configurations in systems with a high

or moderate security impact level may have priority over systems with a low
security impact level.
• Risk assessments – Risk assessments can be used to target systems, IT products, or
CIs having the most impact on security and organizational risk.
• Vulnerability scanning – Vulnerability scans can be used to target systems, IT
products, or CIs that are most vulnerable. For example, the Common Vulnerability
Scoring System (CVSS) is a specification within SCAP that provides an open
framework for communicating the characteristics of software flaw vulnerabilities
and in calculating their relative severity. CVSS scores can be used to help
prioritize configuration and patching activities.
• Degree of penetration – The degree of penetration represents the extent to which
the same product is deployed within an information technology environment. For
example, if an organization uses a specific operating system on 95 percent of its
workstations, it may obtain the most immediate value by planning and deploying
secure configurations for that operating system. Other IT products or CIs can be
targeted afterwards.

ii. Test Configurations

Organizations fully test secure configurations prior to implementation in the production
environment. There are a number of issues that may be encountered when implementing
configurations including software compatibility and hardware device driver issues. For
example, there may be legacy applications with special operating requirements that do not
function correctly after a common secure configuration has been applied. Additionally,
configuration errors could occur if Operating System (OS) and multiple application
configurations are applied to the same component. For example, a setting for an application
configuration parameter may conflict with a similar setting for an OS configuration
parameter.

Virtual environments are recommended for testing secure configurations as they allow
organizations to examine the functional impact on applications without having to configure
actual machines.

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iii. Resolve Issues and Document Deviations

Testing secure configuration implementations may introduce functional problems within
the system or applications. For example, the new secure configuration may close a port or
stop a service that is needed for OS or application functionality. These problems are
examined individually and either resolved or documented as a deviation from, or exception
to, the established common secure configurations.

In some cases, changing one configuration setting may require changes to another setting,
another CI, or another system. For instance, a common secure configuration may specify
strengthened password requirements which may require a change to existing single sign-on
applications. Or there may be a requirement that the OS-provided firewall be enabled by
default. To ensure that applications function as expected, the firewall policy may need to be
revised to allow specific ports, services, IP addresses, etc. When conflicts between
applications and secure configurations cannot be resolved, deviations are documented and
approved through the configuration change control process as appropriate.

iv. Record and Approve the Baseline Configuration

The established and tested secure configuration, including any necessary deviations,
represents the preliminary baseline configuration and is recorded in order to support
configuration change control/security impact analysis, incident resolution, problem solving,
and monitoring activities. Once recorded, the preliminary baseline configuration is
approved in accordance with organizationally defined policy. Once approved, the
preliminary baseline configuration becomes the initial baseline configuration for the
system and its constituent CIs.

The baseline configuration of a system includes the sum total of the secure configurations
of its constituent CIs and represents the system-specific configuration against which all
changes are controlled.

The baseline configuration may include, as applicable, information regarding the system
architecture, the interconnection of hardware components, secure configuration settings of
software components, the software load, supporting documentation, and the elements in a
release package. There could be a different baseline configuration for each life cycle stage
(development, test, staging, production) of the system.

When possible, organizations employ automated tools to support the management of

baseline configurations and to keep the configuration information as up to date and near
real time as possible. There are a number of solutions which maintain baseline
configurations for a wide variety of hardware and software products. Some comprehensive
SecCM solutions integrate the maintenance of baseline configurations with component
inventory and monitoring tools.

v. Deploy the Baseline Configuration

Organizations are encouraged to implement baseline configurations in a centralized and
automated manner using automated configuration management tools, automated scripts,
vendor-provided mechanisms, etc.

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Media libraries may be used to store, protect, and control the master copies of approved versions
of baseline configurations. Media may be the means to store information (paper, tapes,
CD/DVDs, USB drives, etc.) or the information itself (e.g., files, software code). The media
library may also include commercially licensed software, custom-developed software, and other
artifacts and documents generated throughout the SDLC.

SDLC Phase: Implementation/Assessment phase

Primary Roles: System Owner; SSO

Supporting Roles: SA; System/Software Developer

Expected Input: Organizational and/or system-level policies and procedures including mandated
or suggested common secure configurations; System Security Plan/system security requirements;
system/component technical documentation

Expected Output: Approved, recorded, and deployed secure baseline configuration(s) for system
CI(s), including recorded deviations from common secure configurations

3.3 CONTROLLING CONFIGURATION CHANGE

If organizations are to maintain secure configurations for systems in an environment where
technology is continually evolving and the number and seriousness of threats is expanding,
changes to system configurations need to be managed and controlled.

The following subsections describe the Controlling Configuration Changes phase activities. In
this phase, the activities are normally implemented at the system level following policy and
procedures. The following subsections are listed in the order in which the configuration activities
typically occur. As always, organizations have flexibility in determining which activities are
performed at what level and in what order. Completion of the Controlling Configuration Changes
phase results in implementation of access restrictions for change, and documented configuration
change control and security impact analysis processes.

3.3.1 IMPLEMENT ACCESS RESTRICTIONS FOR CHANGE

Access restrictions for change represent the enforcement side of SecCM. Configuration change
control is a process for funneling changes for a system through a managed process; however,
without access restrictions, there is nothing preventing someone from implementing changes
outside of the process. Access restrictions are a mechanism to enforce configuration control
processes by controlling who has access to the system and/or its constituent CIs to make changes.
Access restrictions for change may also include controlling access to additional change-related
information such as change requests, records, correspondence, change test plans and results, etc.

To implement access restrictions for change:

i. Determine the possible types of configuration changes that can be made in the system
including network, operating system, and application layers;

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ii. Determine which individuals have privileged access and which of those privileged
individuals are authorized to make what types of changes; and
iii. Implement technical mechanisms (e.g., role-based access, file/group permissions, etc.)
to ensure that only authorized individuals are able to make the appropriate changes.

SDLC Phase: Implementation/Assessment phase

Primary Roles: System Owner; SSO

Supporting Roles: SA

Expected Input: System Security Plan/system security requirements; organizational and/or system-
level policies and procedures

Expected Output: Appropriate access restrictions for change implemented for the system

3.3.2 IMPLEMENT THE CONFIGURATION CHANGE CONTROL PROCESS

A well-defined configuration change control process is fundamental to any SecCM program.

Configuration change control is the process for ensuring that configuration changes to a system
are formally requested, evaluated for their security impact, tested for effectiveness, and approved
before the changes are implemented. Although the process may have different steps and levels of
rigor depending on organizational risk tolerance and/or system-impact level, configuration
change control generally consists of the following steps:

i. Request the change. A request for change may originate from any number of sources
including the end user of the system, a help desk, or from management. Proposed
changes may also originate from vendor-supplied patches, application updates, security
alerts, system scans, etc. See Appendix E for a Sample Change Request Template.

ii. Record the request for the proposed change. A change request is formally entered into
the configuration change control process when it is recorded in accordance with
organizational procedures. Organizations may use paper-based requests, emails, a help
desk, and/or automated tools to track change requests, route them based on workflow
processes, and allow for electronic acknowledgements/approvals.

iii. Determine if the proposed change requires configuration control. Some types of changes
may be exempt from configuration change control or pre-approved as defined in the
SecCM plan and/or procedures. If the change is exempt or pre-approved, note this on the
change request and allow the change to be made without further analysis or approval;
however, system documentation may still require updating (e.g., the System Security
Plan, the baseline configuration, system component inventory, etc.).

iv. Analyze the proposed change for its security impact on the system (see Section 3.3.3).

v. Test the proposed change for security and functional impacts. Testing confirms the
impacts identified during analysis and/or reveals additional impacts. The impacts of the
change are presented to the CCB and to the AO.

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vi. Approve the change. This step is usually performed by the CCB. The CCB may require
the implementation of additional controls if the change is necessary for mission
accomplishment but has a negative impact on the security of the system and organization.
Implementation of additional controls is coordinated with the AO and System Owner.

vii. Implement the approved change. Once approved, authorized staff makes the change.
Depending upon the scope of the change, it may be helpful to develop an implementation
plan. Change implementation includes changes to applicable/related configuration
parameters as well as updating system documentation to reflect the change(s).
Stakeholders (e.g., users, management, help desk, etc.) are notified about the change,
especially if the change implementation requires a service interruption or alters the
functionality of the system. In the case of the latter situation, user and help desk training
may be required.

viii. Verify that the change was implemented correctly (e.g., vulnerability scans,
postimplementation security and functionality analysis, reassessment of affected security
controls, etc.). Configuration change control is not complete and a change request not
closed until it has been confirmed that the change was deployed without issues. Although
the initial security impact analysis and testing may have found no impact from the
change, an improperly implemented change can cause its own security issues.

ix. Close out the change request. With completion of the above steps, the change request is
closed out in accordance with organizational procedures.

Changes are also evaluated for consistency with organizational enterprise architecture.

If configuration change control procedures have been defined by the organization, the system
owner interprets the procedures in the context of the target system, and refines the process to
make it practical to perform. Changes to the process may need to be approved by the
organizational CCB in accordance with SecCM policy.

It is important that IT operations and maintenance staff who support the system are active
participants in the configuration change control process and are aware of their responsibility for
following it. If significant business process reengineering is needed, for example, updating help
desk activities or a patch management process, training may be required.

Unscheduled or Unauthorized Changes

Unfortunately, it is not uncommon to see activities such as deploying or disposing of hardware,

making changes to configurations, and installing patches occurring outside the configuration
change control process even though such activities can have a significant impact on the security
of a system. Additionally, situations may arise that necessitate an unscheduled (emergency)
change. It is incumbent upon system owners to identify all sources of change to make certain that
changes requiring configuration control go through the configuration change control process,
even if it is after the fact.

When unscheduled changes must be made and time does not allow for following the established
configuration change control process, unscheduled changes are still managed and controlled.
Organizations include instructions for handling unscheduled changes within the configuration

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change control procedures as well as instructions for handling unauthorized changes that are
subsequently discovered. Configuration change control procedures also address flaw remediation
to allow rapid but controlled change to fix software errors. Unscheduled changes are
reviewed/resolved by the CCB as soon as is practical after unscheduled changes are made.

SDLC Phase: Implementation/Assessment phase, ongoing during the Operations and

Maintenance phase

Primary Roles: System Owner; CCB; SSO

Supporting Roles: SA; System User

Expected Input: Organizational and/or system-level SecCM policies and procedures; System
Security Plan/system security requirements

Expected Output: Documented and implemented configuration change control process

3.3.3 CONDUCT SECURITY IMPACT ANALYSIS

Security impact analysis is one of the most critical steps in the configuration change control
process with respect to SecCM. Organizations spend significant resources developing and
maintaining the secure state of systems; failing to properly analyze a change for its security
impact can undo the system security effort and expose the organization to attack. The security
impact analysis activity provides the linkage between configuration change control and improved
security. The management of changes through a structured process has its own benefits – for
instance, increased efficiency. However, it is only when those changes are evaluated for their
security impact that the configuration change control process realizes benefits for the security
posture of a system.

Very large organizations or system owners of large and complex systems may find it helpful to
create a Configuration Review Board to manage and conduct security impact analyses and report
the findings to the relevant CCB.

Changes are examined for impact on security, and for mitigating controls that can be
implemented to reduce any resulting vulnerability. Security impact analyses are conducted by
individuals or teams with technical knowledge of the system throughout the SDLC such that the
impact of changes on security is considered at every phase:

• Initiation Phase (Before a Change is Deployed)

Security impact analysis before a change is deployed is critical in ascertaining whether
the change will impact the secure state of the system. The initial security impact analysis
is conducted before the change is approved by the CCB. If there are security concerns
with a change, they can be addressed/mitigated before time and energy are spent in
building, testing, and/or rolling out the change.

• Development/Acquisition and Implementation/Assessment Phases

Security impact analysis is not a one-time event conducted during the initiation phase to
support the decisions of the CCB when approving changes. When the change is initially

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proposed and reviewed, the manner in which the change will be built and implemented
may not be known, something which can greatly influence the security impact of the
change. For instance, for a custom-built component during the design phase, security
impact analysis is performed on technical design documents to ensure that the design
considers security best practices, implements the appropriate controls, and would not
need to be redeveloped at a later date due to introduced vulnerabilities. Developers
ensure that security is taken into account as they build the component, and the design is
tested during implementation to confirm that expected controls were implemented and
that no new or unexpected vulnerabilities were introduced.

• Operations and Maintenance Phase (After a Change is Deployed)

Security impact analysis in the operations and maintenance phase confirms that the
original security impact analysis was correct, and that unexpected vulnerabilities or
impacts to security controls not identified in the testing environment have not been
introduced in the operational environment. Additionally, the security impact of
unscheduled and unauthorized changes is analyzed during the operations and
maintenance phase.

The process for a security impact analysis consists of the following steps:

i. Understand the Change - If the change is being proposed, develop a high-level

architecture overview which shows how the change will be implemented. If the change
has already occurred (unscheduled/unauthorized), request follow-up
documentation/information and review it or use whatever information is available (e.g.,
audit records, interview staff who made the change, etc.) to gain insight into the change.

ii. Identify Vulnerabilities - If the change involves a COTS hardware or software product,
identifying vulnerabilities may include, but is not limited to, a search of the National
Vulnerability Database (NVD)21 which enumerates vulnerabilities, user experience, etc.
Organizations can leverage NVD information to address known issues and remove or
mitigate them before they become a concern. Other public databases of vulnerabilities,
weaknesses, and threats may also be searched (e.g., US-CERT). Some automated
vulnerability scanning tools (SCAP-validated tools where possible) are able to search
various public vulnerability databases that apply to IT products/CPE names of IT
products. If the change involves custom development, a more in-depth analysis of the
security impact is conducted. Although application security is beyond the scope of this
publication, there are many best practices and useful sources of information for how to
ensure the security of software code.

iii. Assess Risks - Once a vulnerability has been identified, a risk assessment is needed to
identify the likelihood of a threat exercising the vulnerability and the impact of such an
event. Although vulnerabilities may be identified in changes as they are proposed, built,
and tested, the assessed risk may be low enough that the risk can be accepted without
remediation (i.e., risk acceptance). In other cases, the risk may be high enough that the

21 https://nvd.nist.gov/

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change is not approved (i.e., risk avoidance), or that safeguards and countermeasures are
implemented to reduce the risk (i.e., risk mitigation).22

iv. Assess Impact on Existing Security Controls - In addition to assessing the risk from the
change, organizations analyze whether and how a change will impact existing security
controls. For example, the change may involve installation of software that alters the
existing baseline configuration, or the change itself may cause or require changes to the
existing baseline configuration. The change may also affect other systems or system
components that depend on the function or component being changed, either temporarily
or permanently. For example, if a database that is used to support auditing controls is
being upgraded to the latest version, auditing functionality within the system may be
halted while the upgrade is being implemented.

v. Plan Safeguards and Countermeasures - In cases where risks have been identified and
are unacceptable, organizations use the security impact analysis to revise the change or to
plan safeguards and countermeasures to reduce the risk. For instance, if the security
impact analysis reveals that the proposed change causes a modification to a common
secure configuration setting, plans to rework the change to function within the existing
setting are initiated. If a change involves new elevated privileges for users, plans to
mitigate the additional risk are made (e.g., submission of requests for higher clearance
levels for those users or implementation of stronger access controls).

See Appendix I for a sample Security Impact Analysis Template.

SDLC Phase: Operations and Maintenance phase

Primary Roles: SSO

Supporting Roles: AO; System Owner; SA; System/Software Developer

Expected Input: Change request and/or any supporting documentation; System Security Plan
including the current approved baseline configuration; system audit records; relevant COTS
vulnerability information

Expected Output: Identified vulnerabilities; risk assessment of identified vulnerabilities including

any potential countermeasures; analysis of the security impact of the change

3.3.4 RECORD AND ARCHIVE

Once the change has been analyzed, approved, tested, implemented, and verified, the organization
ensures that updates have been made to supporting documents such as technical designs and
baseline configurations, in addition to security-related documentation such as System Security
Plans, Risk Assessments, Assessment Reports, and Plans of Action & Milestones. In cases where
there is high risk or where significant changes have been made, a system reauthorization may be
required.

22 See NIST [SP 800-30] for more information on risk assessment.

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As changes are made to baseline configurations, the new baseline becomes the current version,
and the previous baseline is no longer valid but is retained for historical purposes. If there are
issues with a production release, retention of previous versions allows for a rollback or
restoration to a previous secure and functional version of the baseline configuration. Additionally,
archiving previous baseline configurations is useful for incident response and traceability support
during formal audits.23

SDLC Phase: Operations and Maintenance phase

Primary Roles: SSO

Supporting Roles: System Owner; SA; System/Software Developer

Expected Input: Identified vulnerabilities; risk assessment of identified vulnerabilities including

any potential countermeasures; analysis of the security impact of the change

Expected Output: Updated technical and system security-related documentation; decision on

whether or not a system reauthorization is required; new baseline configuration

3.4 SECCM MONITORING

If a system is inconsistent with approved configurations as defined by the organization’s baseline
configurations of system CIs, the System Security Plan, etc., or if an organization’s component
inventory is inaccurate, the organization may be unaware of potential vulnerabilities and not take
actions that would otherwise limit those vulnerabilities and protect it from attacks (i.e., reduce
risk). Monitoring activities offer the organization better visibility into the actual state of security
for its systems and also support adherence to SecCM policies and procedures. SecCM monitoring
also provides input to the organization’s overall continuous monitoring strategy.24

Organizations implement the configuration monitoring strategy developed during the SecCM
planning phase. SecCM monitoring activities confirm that the existing configuration is identical
to the current approved baseline configuration, that all items in the component inventory can be
identified and are associated with the appropriate system, and, if possible, whether there are any
unapproved (i.e., not recorded in the component inventory) components. Unapproved
components often create a major security risk; unapproved components rarely have updated
patches, are not configured using the approved baseline configurations, and are not assessed or
included in the authorization to operate. For example, if a technician uses a router for testing and
then forgets to remove it, or if an employee sets up a wireless access point in a remote office
without management consent, the organization may be vulnerable without being aware of it.

3.4.1 ASSESSMENT AND REPORTING

SecCM monitoring is accomplished through assessment and reporting activities. For

organizations with a large number of components, the only practical and effective solution for
SecCM monitoring activities is the use of automated solutions that use standardized reporting
methods such as SCAP. A system may have many components and many baseline configurations.

23 Archived baseline configurations are protected in accordance with the system impact level.

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To manually collect information on the configuration of all components and assess them against
policy and approved baseline configurations is not practical, or even possible, in most cases.
Automated tools can also facilitate reporting for Security Information and Event Management
applications that can be accessed by management and/or formatted into other reports on baseline
configuration status in support of overall continuous monitoring. Care is exercised in collecting
and analyzing the results generated by automated tools to account for any false positives.

SecCM monitoring may be supported by numerous means, including, but not limited to:

• Scanning to discover components not recorded in the inventory. For example, after
testing of a new firewall, a technician forgets to remove it from the network. If it is not
properly configured, it may provide access to the network for intruders. A scan would
identify this network device as not a part of the inventory, enabling the organization to
take action.

• Scanning to identify disparities between the approved baseline configuration and the
actual configuration for a system. For example, a technician rolls out a new patch but
forgets to update the baseline configurations of the systems impacted by the new patch. A
scan would identify a difference between the actual environment and the description in
the baseline configuration enabling the organization to take action. In another example, a
new tool is installed on the workstations of a few end users of the system. During
installation, the tool changes a number of configuration settings in the browser on the
users’ workstations, exposing them to attack. A scan would identify the change in the
workstation configuration, allowing the appropriate individuals to take action.

• Implementation of automated change monitoring tools (e.g., change/configuration

management tools, application whitelisting tools). Unauthorized changes to systems may
be an indication that the systems are under attack or that SecCM procedures are not being

27 See NIST [SP 800-37] and NIST [SP 800-137].

followed or need updating. Automated tools are available that monitor systems for
changes and alert system staff if unauthorized changes occur or are attempted.

• Querying audit records/log monitoring to identify unauthorized change events.

• Running system integrity checks to verify that baseline configurations have not been
changed.

• Reviewing configuration change control records (including security impact analyses) to

verify conformance with SecCM policy and procedures.

When possible, organizations seek to normalize data to describe the system in order that the
various outputs from monitoring can be combined, correlated, analyzed, and reported in a
consistent manner. SCAP provides a common language for describing vulnerabilities,
misconfigurations, and products and is an obvious starting point for organizations seeking a
consistent way of communicating across the organization regarding the security status of the
enterprise architecture (see Section 3.5).

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When inconsistencies are discovered as a result of monitoring activities, the organization may
want to take remedial action. Action taken may be via manual methods or via use of automated
tools. Automated tools are preferable since actions are not reliant upon human intervention and
are taken immediately once an unauthorized change is identified. Examples of possible actions
include:

• Implementing nondestructive remediation actions (e.g., quarantining of unregistered

device(s), blocking insecure protocols, etc.);
• Sending an alert with change details to appropriate staff using email;
• Rolling back changes and restoring from backups;
• Updating the inventory to include newly identified components; and
• Updating baseline configurations to represent new configurations.

Changes detected as a result of monitoring activities are reconciled with approved changes.
Specifically, reconciliation attempts to answer the following:

• Who made the change;

• Whether the change occurred in a scheduled maintenance window;
• Whether the change matches a previously detected and approved change; and
• Whether the change corresponds with an approved change request, help desk ticket, or
product release.

Additionally, the results of monitoring activities are analyzed to determine the reason(s) that an
unauthorized change occurred. There are many potential causes for unauthorized changes. They
may stem from:

• Accidental or unintentional changes;

• Malicious intent/attacks;
• Individuals who believe configuration change control processes don’t apply to them;
• Individuals who aren’t aware of the configuration change control process;
• Errors made when changes are implemented; and
• A delay between introducing the change and updating the inventory and baseline
configuration for the affected systems;

Analyzing unauthorized changes identified through monitoring can not only identify
vulnerabilities, but can also give organizations insight into any potential systemic problems with
how the configuration change control process is managed. Once organizations are aware of any
such problems, actions can be taken such as reengineering processes, implementing improved
access restrictions for change, and providing training on SecCM processes.

Finally, monitoring may support the generation of metrics related to SecCM activities. Analysis
and consolidation of monitoring reports can generate metrics such as the percentage of systems
that are implemented in accordance with their approved baselines, the percentage of IT products
that are configured in accordance with the organizationally defined common secure
configurations, or percentage of system changes that have been subjected to security impact
analyses. Thus, SecCM monitoring may also be a source of information that supports metrics
requirements associated with the organization’s overall continuous monitoring process.

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Results of SecCM monitoring are reported to management as defined by organizational policy

and the SecCM strategy. Various types of reporting may be needed to support compliance with
applicable federal laws, Executive Orders, directives, policies, regulations, standards and
guidelines.

The SecCM monitoring strategy and procedures are reviewed and revised to ensure that
organizational security requirements continue to be met.

SDLC Phase: Operations and Maintenance phase

Primary Roles: SAISO (for implementing organization-wide monitoring tools and overseeing
monitoring activities potentially including engaging independent assessment teams); System
Owner (for ensuring that configuration monitoring is implemented at the system level as defined
in the strategy)

Supporting Roles: SSO; SA; System/Software Developer

Expected Input: SecCM monitoring strategy; automated tools; system component inventory;
current baseline configuration(s); audit records; System Security Plan/system security
requirements

Expected Output: SecCM monitoring reports, including security assessment reports and output
from automated tools, as defined in the strategy and schedule

3.4.2 IMPLEMENT AND MANAGE TOOLS FOR SECCM MONITORING

SecCM monitoring tools identified during the planning phase are implemented and managed
during the monitoring phase. Some tools may support SecCM activities in multiple phases, i.e.,
tools may have already been implemented and supporting activities during the identifying and
implementing configurations phase and/or the controlling configuration changes phase. The
monitoring-related functionality of such tools is then leveraged and managed during the
monitoring phase.

Before implementing automated monitoring tools, organizations conduct a security impact

analysis to ensure that the tools do not have a negative effect on the existing enterprise
architecture as a whole or on individual systems/components.

It is important to note that automated tools may not support or be able to function with all
organizational systems or all components within a system. Organizations document the systems
and/or components that are not monitored via automated tools and a manual process is developed
and implemented for those systems/components.

SDLC Phase: Implementation phase

Primary Roles: SecCM Program Manager; System Owner

Supporting Roles: SAISO (if s/he is not the SecCM Program Manager); CIO; AO; SSO; SA;
System/Software Developer

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Expected Input: Configuration monitoring strategy; enterprise architecture information and/or

system architecture information; tools identified during the planning phase, information about
other IT products with which monitoring tools will interface

Expected Output: Implemented configuration monitoring tools

3.5 USING SECURITY CONTENT AUTOMATION PROTOCOL24

Security Content Automation Protocol (SCAP) is a suite of specifications25 that standardize the
format and nomenclature by which information about software flaws and secure configurations
can be communicated. SCAP-enabled tools can be used for maintaining the security of enterprise
systems, such as automatically verifying the installation of patches, checking system security
configuration settings against an expected baseline, and examining systems for signs of
compromise.

To automate configuration management and produce assessment evidence for many NIST [SP
800-53] controls, federal agencies use SCAP-enabled tools along with SCAP-expressed
checklists. SCAP-expressed checklists are customized as appropriate to meet specific
organizational requirements. SCAP-expressed checklists can map individual system configuration
settings to their corresponding security requirements. Mappings between settings and
requirements can help demonstrate that the implemented settings adhere to these requirements.
The mappings are embedded in SCAP-expressed checklists which allow SCAP-enabled tools to
automatically generate standardized assessment and compliance evidence. The embedded
mappings in SCAP-enabled tools can provide a substantial savings in effort and cost.

NIST encourages security software vendors to incorporate support for Common Vulnerabilities
and Exposures (CVE), Common Configuration Enumeration (CCE), and Software Identification
(SWID) Tags into their products, as well as encourage all software vendors to include CVE and
CCE identifiers and software identifiers provided by the Common Platform Enumeration (CPE)
and SWID in their vulnerability and patch advisories.
SCAP VERSION 1.3 COMPONENTS26

SPECIFICATIONS DESCRIPTION
Languages

Extensible Configuration Checklist Used for authoring security

Description Format (XCCDF) 1.2 checklists/benchmarks and for reporting the
results of evaluating them
Open Vulnerability and Assessment Language Used for representing systemconfiguration
(OVAL) 5.11.2 information, assessing machine state, and
reporting assessment results

24 NIST [SP 800-126] provides information on the Security Content Automation Protocol.
25Additional SCAP specifications are expected to be added or updated over time, check https://scap.nist.gov/ for updates.
26 Information for the table was taken from NIST [SP 800-126], Rev 3, Section 2. Additional SCAP specifications are expected
to be added, check https://csrc.nist.gov/Projects/Security-Content-Automation-Protocol/SCAP-Releases for updates.

CHAPTER 3 PAGE 48
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Open Checklist Interactive Language Used for representing checks that collect
(OCIL) 2.0 information from people or from
existing data stores populated by other
data collection methods
Reporting Formats

Asset Reporting Format (ARF) 1.1 Used to express information about assets
and to define the relationships between
assets and reports
Asset Identification 1.1 Used to uniquely identify assets based on
known identifiers and other asset
information
Identification Schemes

Common Platform Enumeration (CPE) A nomenclature and dictionary of hardware,

2.3 operating systems, and applications; a
method to identify the applicability to
platforms
Software Identification (SWID) Tags 2015 A structured metadata format for describing
a released software product
Common Configuration Enumeration A nomenclature and dictionary of software-
(CCE) 5 security configurations
Common Vulnerabilities and Exposures (CVE) A nomenclature and dictionary of security-
related software flaws
Measurement and Scoring Systems

Common Vulnerability Scoring System (CVSS) Used for measuring the relative severity
3 of software flaws
Common Configuration Scoring System Used for measuring the relative severity
(CCSS) 1.0 of device security (mis-)configuration
issues
Content and Result Integrity

Trust Model for Security Automation Data Guidance for using digital signatures in a
(TMSAD) 1.0 common trust model applied to security
automation specifications

CHAPTER 3 PAGE 49
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APPENDIX A

REFERENCES
LAWS, POLICIES, DIRECTIVES, REGULATIONS, MEMORANDA, STANDARDS, AND GUIDELINES

[40 USC 11331] Title 40 U.S. Code, Sec. 11331, Responsibilities for Federal information
systems standards. 2017 ed.
https://www.govinfo.gov/app/details/USCODE-2017-title40/USCODE-
2017-title40-subtitleIII-chap113-subchapIII-sec11331

[44 USC 3502] Title 44 U.S. Code, Sec. 3502, Definitions. 2012 ed.
https://www.govinfo.gov/app/details/USCODE-2017-title44/USCODE-
2017-title44-chap35-subchapI-sec3502

[44 USC 3542] Title 44 U.S. Code, Sec. 3542, Definitions. 2006 ed.
https://www.govinfo.gov/app/details/USCODE-2008-title44/USCODE-
2008-title44-chap35-subchapIII-sec3542

[44 USC 3544] Title 44 U.S. Code, Sec. 3544, Definitions. 2006 ed.
https://www.govinfo.gov/app/details/USCODE-2008-title44/USCODE-
2008-title44-chap35-subchapIII-sec3544

[44 USC 3552] Title 44 U.S. Code, Sec. 3552, Definitions. 2012 ed.
https://www.govinfo.gov/app/details/USCODE-2017-title44/USCODE-
2017-title44-chap35-subchapII-sec3552

[44 USC 3601] Title 44 U.S. Code, Sec. 3601, Definitions. 2012 ed.
https://www.govinfo.gov/app/details/USCODE-2017-title44/USCODE-
2017-title44-chap36-sec3601

[CMMI] Capability Maturity Model Integration (CMMI).

https://cmmiinstitute.com/

[CNSS 4009] Committee for National Security Systems (CNSS) Instruction 4009,
Committee on National Security systems (CNSS) Glossary, April 2015.
https://www.cnss.gov/CNSS/issuances/Instructions.cfm

[FIPS 140-3] National Institute of Standards and Technology (2019) Security

Requirements for Cryptographic Modules. (U.S. Department of
Commerce, Washington, DC), Federal Information Processing
Standards Publication (FIPS) 140-3.
https://doi.org/10.6028/NIST.FIPS.140-3

[FIPS 199] National Institute of Standards and Technology (2004) Standards for
Security Categorization of Federal Information and Information
Systems. (U.S. Department of Commerce, Washington, DC), Federal
Information Processing Standards Publication (FIPS) 199.

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https://doi.org/10.6028/NIST.FIPS.199
[FIPS 200] National Institute of Standards and Technology (2006) Minimum
Security Requirements for Federal Information and Information
Systems. (U.S. Department of Commerce, Washington, DC), Federal
Information Processing Standards Publication (FIPS) 200.
https://doi.org/10.6028/NIST.FIPS.200
[FISMA] Federal Information Security Modernization Act (P.L. 113-283),
December 2014.
https://www.govinfo.gov/app/details/PLAW-113publ283
[IEEE 828-2012] IEEE 828-2012-IEEE Standard for Configuration Management in
Software and Software Engineering.
https://standards.ieee.org/standard/828-2012.html
[ISO 10007] International Organization for Standardization (ISO) 10007:2017,
Quality management – Guidelines for configuration management.
https://www.iso.org/standard/70400.html
[ITIL] Information Technology Infrastructure Library (ITIL).
https://www.axelos.com/best-practice-solutions/itil
[NISTIR 7693] Wunder J, Halbardier AM, Waltermire DA (2011) Specification for
Asset Identification 1.1. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Interagency or Internal Report
(IR) 7693. https://doi.org/10.6028/NIST.IR.7693
[OMB A-130] Office of Management and Budget Circular A-130, Managing
Information as a Strategic Resource, July 2016.
https://www.whitehouse.gov/sites/whitehouse.gov/files/omb/circulars/A
130/a130revised.pdf
[SP 800-18] Swanson MA, Hash J, Bowen P (2006) Guide for Developing Security
Plans for Federal Information Systems. (National Institute of Standards
and Technology, Gaithersburg, MD), NIST Special Publication (SP)
800-18, Rev. 1. https://doi.org/10.6028/NIST.SP.800-18r1
[SP 800-25] Lyons-Burke K, Committee FPKIS (2000) Federal Agency Use of
Public Key Technology for Digital Signatures and Authentication.
(National Institute of Standards and Technology, Gaithersburg, MD),
NIST Special Publication (SP) 800-25.
https://doi.org/10.6028/NIST.SP.800-25
[SP 800-28] Jansen W, Winograd T, Scarfone KA (2008) Guidelines on Active
Content and Mobile Code. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-28,
Version 2. https://doi.org/10.6028/NIST.SP.800-28ver2
[SP 800-30] Joint Task Force Transformation Initiative (2012) Guide for Conducting
Risk Assessments. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-30, Rev. 1.

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[SP 800
https://doi.org/10.6028/NIST.SP.800-30r1
-32] Kuhn R, Hu VC, Polk T, Chang S-jH (2001) Introduction to Public Key
Technology and the Federal PKI Infrastructure. (National Institute of
Standards and Technology, Gaithersburg, MD), NIST Special
Publication (SP) 800-32. https://doi.org/10.6028/NIST.SP.800-32
[SP 800-37] Joint Task Force (2018) Risk Management Framework for Information
Systems and Organizations: A System Life Cycle Approach for Security
and Privacy. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2.
https://doi.org/10.6028/NIST.SP.800-37r2
[SP 800-39] Joint Task Force Transformation Initiative (2011) Managing
Information Security Risk: Organization, Mission, and Information
System View. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-39.
https://doi.org/10.6028/NIST.SP.800-39
[SP 800-40] Souppaya MP, Scarfone KA (2013) Guide to Enterprise Patch
Management Technologies. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-40,
Rev. 3. https://doi.org/10.6028/NIST.SP.800-40r3
[SP 800-41] Scarfone KA, Hoffman P (2009) Guidelines on Firewalls and Firewall
Policy. (National Institute of Standards and Technology, Gaithersburg,
MD), NIST Special Publication (SP) 800-41, Rev. 1.
https://doi.org/10.6028/NIST.SP.800-41r1
[SP 800-44] Tracy MC, Jansen W, Scarfone KA, Winograd T (2007) Guidelines on
Securing Public Web Servers. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-44,
Version 2. https://doi.org/10.6028/NIST.SP.800-44ver2
[SP 800-45] Tracy MC, Jansen W, Scarfone KA, Butterfield J (2007) Guidelines on
Electronic Mail Security. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-45,
Version 2. https://doi.org/10.6028/NIST.SP.800-45ver2
[SP 800-46] Souppaya MP, Scarfone KA (2016) Guide to Enterprise Telework,
Remote Access, and Bring Your Own Device (BYOD) Security.
(National Institute of Standards and Technology, Gaithersburg, MD),
NIST Special Publication (SP) 800-46, Rev. 2.
https://doi.org/10.6028/NIST.SP.800-46r2
[SP 800-47] Grance T, Hash J, Peck S, Smith J, Korow-Diks K (2002) Security
Guide for Interconnecting Information Technology Systems. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST
Special Publication (SP) 800-47. https://doi.org/10.6028/NIST.SP.80047

APPENDIX A A-3
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[SP 800
-52] Polk T, McKay KA, Chokhani S (2014) Guidelines for the Selection,
Configuration, and Use of Transport Layer Security (TLS)
Implementations. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-52, Rev. 1.
https://doi.org/10.6028/NIST.SP.800-52r1
[SP 800-53] Joint Task Force Transformation Initiative (2013) Security and Privacy
Controls for Federal Information Systems and Organizations. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST
Special Publication (SP) 800-53, Rev. 4, Includes updates as of January
22, 2015. https://doi.org/10.6028/NIST.SP.800-53r4
[SP 800-53A] Joint Task Force Transformation Initiative (2014) Assessing Security and
Privacy Controls in Federal Information Systems and Organizations:
Building Effective Assessment Plans. (National Institute of Standards
and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-
53A, Rev. 4, Includes updates as of December 18, 2014.
https://doi.org/10.6028/NIST.SP.800-53Ar4
[SP 800-54] Kuhn R, Sriram K, Montgomery DC (2007) Border Gateway Protocol
Security. (National Institute of Standards and Technology, Gaithersburg,
MD), NIST Special Publication (SP) 800-54.
https://doi.org/10.6028/NIST.SP.800-54
[SP 800-55] Chew E, Swanson MA, Stine KM, Bartol N, Brown A, Robinson W
(2008) Performance Measurement Guide for Information Security.
(National Institute of Standards and Technology, Gaithersburg, MD),
NIST Special Publication (SP) 800-55, Rev. 1.
https://doi.org/10.6028/NIST.SP.800-55r1
[SP 800-57P1] Barker EB (2016) Recommendation for Key Management, Part 1:
General. (National Institute of Standards and Technology, Gaithersburg,
MD), NIST Special Publication (SP) 800-57 Part 1, Rev. 4.
https://doi.org/10.6028/NIST.SP.800-57pt1r4
[SP 800-57P2] Barker EB, Barker WC (2019) Recommendation for Key Management:
Part 2 – Best Practices for Key Management Organizations. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST Special
Publication (SP) 800-57 Part 2, Rev. 1.
https://doi.org/10.6028/NIST.SP.800-57pt2r1
[SP 800-57P3] Barker EB, Dang QH (2015) Recommendation for Key Management,
Part 3: Application-Specific Key Management Guidance. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST Special
Publication (SP) 800-57 Part 3, Rev. 1.
https://doi.org/10.6028/NIST.SP.800-57pt3r1
[SP 800-58] Kuhn R, Walsh TJ, Fries S (2005) Security Considerations for Voice
Over IP Systems. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-58.

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[SP 800
https://doi.org/10.6028/NIST.SP.800-58
-63B] Grassi PA, Newton EM, Perlner RA, Regenscheid AR, Fenton JL, Burr
WE, Richer JP, Lefkovitz NB, Danker JM, Choong Y-Y, Greene KK,
Theofanos MF (2017) Digital Identity Guidelines: Authentication and
Lifecycle Management. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP) 80063B,
Includes updates as of December 1, 2017.
https://doi.org/10.6028/NIST.SP.800-63B
[SP 800-70] Quinn SD, Souppaya MP, Cook MR, Scarfone KA (2018) National
Checklist Program for IT Products: Guidelines for Checklist Users and
Developers. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-70, Rev. 4.
https://doi.org/10.6028/NIST.SP.800-70r4
[SP 800-77] Frankel SE, Kent K, Lewkowski R, Orebaugh AD, Ritchey RW, Sharma
SR (2005) Guide to IPsec VPNs. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-77.
https://doi.org/10.6028/NIST.SP.800-77
[SP 800-81-2] Chandramouli R, Rose SW (2013) Secure Domain Name System (DNS)
Deployment Guide. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-81-2.
https://doi.org/10.6028/NIST.SP.800-81-2
[SP 800-82] Stouffer KA, Lightman S, Pillitteri VY, Abrams M, Hahn A (2015) Guide
to Industrial Control Systems (ICS) Security. (National Institute of
Standards and Technology, Gaithersburg, MD), NIST Special
Publication (SP) 800-82, Rev. 2.
https://doi.org/10.6028/NIST.SP.80082r2
[SP 800-92] Kent K, Souppaya MP (2006) Guide to Computer Security Log
Management. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-92.
https://doi.org/10.6028/NIST.SP.800-92
[SP 800-94] Scarfone KA, Mell PM (2007) Guide to Intrusion Detection and
Prevention Systems (IDPS). (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-94.
https://doi.org/10.6028/NIST.SP.800-94
[SP 800-95] Singhal A, Winograd T, Scarfone KA (2007) Guide to Secure Web
Services. (National Institute of Standards and Technology, Gaithersburg,
MD), NIST Special Publication (SP) 800-95.
https://doi.org/10.6028/NIST.SP.800-95
[SP 800-97] Frankel SE, Eydt B, Owens L, Scarfone KA (2007) Establishing
Wireless Robust Security Networks: A Guide to IEEE 802.11i. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST Special
Publication (SP) 800-97.

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[SP 800
https://doi.org/10.6028/NIST.SP.800-97
-98] Karygiannis T, Eydt B, Barber G, Bunn L, Phillips T (2007) Guidelines
for Securing Radio Frequency Identification (RFID) Systems. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST
Special Publication (SP) 800-98. https://doi.org/10.6028/NIST.SP.80098

[SP 800-107] Dang QH (2012) Recommendation for Applications Using Approved

Hash Algorithms. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-107, Rev. 1.
https://doi.org/10.6028/NIST.SP.800-107r1
[SP 800-111] Scarfone KA, Souppaya MP, Sexton M (2007) Guide to Storage
Encryption Technologies for End User Devices. (National Institute of
Standards and Technology, Gaithersburg, MD), NIST Special
Publication (SP) 800-111. https://doi.org/10.6028/NIST.SP.800-111
[SP 800-113] Frankel SE, Hoffman P, Orebaugh AD, Park R (2008) Guide to SSL
VPNs. (National Institute of Standards and Technology, Gaithersburg,
MD), NIST Special Publication (SP) 800-113.
https://doi.org/10.6028/NIST.SP.800-113
[SP 800-115] Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical
Guide to Information Security Testing and Assessment. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST
Special Publication (SP) 800-115.
https://doi.org/10.6028/NIST.SP.800115
[SP 800-121] Padgette J, Bahr J, Holtmann M, Batra M, Chen L, Smithbey R,
Scarfone KA (2017) Guide to Bluetooth Security. (National Institute of
Standards and Technology, Gaithersburg, MD), NIST Special
Publication (SP) 800-121, Rev. 2.
https://doi.org/10.6028/NIST.SP.800121r2
[SP 800-122] McCallister E, Grance T, Scarfone KA (2010) Guide to Protecting the
Confidentiality of Personally Identifiable Information (PII). (National
Institute of Standards and Technology, Gaithersburg, MD), NIST
Special Publication (SP) 800-122.
https://doi.org/10.6028/NIST.SP.800122
[SP 800-123] Scarfone KA, Jansen W, Tracy MC (2008) Guide to General Server
Security. (National Institute of Standards and Technology, Gaithersburg,
MD), NIST Special Publication (SP) 800-123.
https://doi.org/10.6028/NIST.SP.800-123
[SP 800-124] Souppaya MP, Scarfone KA (2013) Guidelines for Managing the
Security of Mobile Devices in the Enterprise. (National Institute of
Standards and Technology, Gaithersburg, MD), NIST Special
Publication (SP) 800-124, Rev. 1.
https://doi.org/10.6028/NIST.SP.800124r1

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[SP 800
-126] Waltermire DA, Quinn SD, Booth H, III, Scarfone KA, Prisaca D (2018)
The Technical Specification for the Security Content Automation
Protocol (SCAP): SCAP Version 1.3. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP)
800-126, Rev. 3. https://doi.org/10.6028/NIST.SP.800-126r3
[SP 800-130] Barker EB, Smid ME, Branstad DK, Chokhani S (2013) A Framework
for Designing Cryptographic Key Management Systems. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST
Special Publication (SP) 800-130.
https://doi.org/10.6028/NIST.SP.800130
[SP 800-131A] Barker EB, Roginsky A (2019) Transitioning the Use of Cryptographic
Algorithms and Key Lengths. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-
131A, Rev. 2. https://doi.org/10.6028/NIST.SP.800-131Ar2
[SP 800-132] Sönmez Turan M, Barker EB, Burr WE, Chen L (2010)
Recommendation for Password-Based Key Derivation: Part 1: Storage
Applications. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-132.
https://doi.org/10.6028/NIST.SP.800-132
[SP 800-135] Dang QH (2011) Recommendation for Existing Application-Specific
Key Derivation Functions. (National Institute of Standards and
Technology, Gaithersburg, MD), NIST Special Publication (SP) 800135,
Rev. 1. https://doi.org/10.6028/NIST.SP.800-135r1
[SP 800-137] Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC,
Orebaugh AD, Scholl MA, Stine KM (2011) Information Security
Continuous Monitoring (ISCM) for Federal Information Systems and
Organizations. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-137.
https://doi.org/10.6028/NIST.SP.800-137
[SP 800-161] Boyens JM, Paulsen C, Moorthy R, Bartol N (2015) Supply Chain Risk
Management Practices for Federal Information Systems and
Organizations. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-161.
https://doi.org/10.6028/NIST.SP.800-161
[SP 800-167] Sedgewick A, Souppaya MP, Scarfone KA (2015) Guide to Application
Whitelisting. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-167.
https://doi.org/10.6028/NIST.SP.800-167

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[SP 800-171A] Ross RS, Dempsey KL, Pillitteri VY (2018) Assessing Security
Requirements for Controlled Unclassified Information. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST
Special Publication (SP) 800-171A.
https://doi.org/10.6028/NIST.SP.800-171A
[SP 800-175B] Barker EB (2016) Guideline for Using Cryptographic Standards in the
Federal Government: Cryptographic Mechanisms. (National Institute of
Standards and Technology, Gaithersburg, MD), NIST Special
Publication (SP) 800-175B. https://doi.org/10.6028/NIST.SP.800-175B
[SP 800-179] Trapnell M, Scarfone KA, Trapnell E, Badger ML, Souppaya MP, Yaga
DJ (2016) Guide to Securing Apple OS X 10.10 Systems for IT
Professionals: A NIST Security Configuration Checklist. (National
Institute of Standards and Technology, Gaithersburg, MD), NIST
Special Publication (SP) 800-179.
https://doi.org/10.6028/NIST.SP.800179
[SP 800-181] Newhouse WD, Witte GA, Scribner B, Keith S (2017) National
Initiative for Cybersecurity Education (NICE) Cybersecurity Workforce
Framework. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-181.
[SP 800-171] Ross RS, Dempsey KL, Viscuso P, Riddle M, Guissanie G (2016)
Protecting Controlled Unclassified Information in Nonfederal Systems
and Organizations. (National Institute of Standards and Technology,
Gaithersburg, MD), NIST Special Publication (SP) 800-171, Rev. 1,
Includes updates as of June 7, 2018.
https://doi.org/10.6028/NIST.SP.800-171r1
https://doi.org/10.6028/NIST.SP.800-181

APPENDIX A A-8
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APPENDIX B

GLOSSARY
COMMON TERMS AND DEFINITIONS

Appendix B provides definitions for security terminology used within Special Publication 800-128.
Unless specifically defined in this glossary, all terms used in this publication are consistent with those
definitions and the definitions contained in [CNSS 4009], National Information Assurance (IA) Glossary.
adequate security Security protections commensurate with the risk resulting from
[OMB A-130] the unauthorized access, use, disclosure, disruption,
modification, or destruction of information. This includes
ensuring that information hosted on behalf of an agency and
information systems and applications used by the agency
operate effectively and provide appropriate confidentiality,
integrity, and availability protections through the application of
cost-effective security controls.
agency Any executive agency or department, military department,
[OMB A-130]
Federal Government corporation, Federal Government-
controlled corporation, or other establishment in the Executive
Branch of the Federal Government, or any independent
regulatory agency.
asset identification SCAP constructs to uniquely identify assets (components)
based on known identifiers and/or known information about the
assets.
asset reporting format (ARF) SCAP data model for expressing the transport format of
information about assets (components) and the relationships
between assets and reports.

authentication Verifying the identity of a user, process, or device, often as a

[FIPS 200] prerequisite to allowing access to resources in a system.
authorizing official A senior Federal official or executive with the authority to
[OMB A-130] authorize (i.e., assume responsibility for) operation of an
information system or the use of a designated set of common
controls at an acceptable level of risk to agency operations
(including mission, functions, image, or reputation), agency
assets, individuals, other organizations, and the Nation.
baseline configuration A documented set of specifications for a system, or a
configuration item within a system, that has been formally
reviewed and agreed on at a given point in time, and which can
be changed only through change control procedures.
checksum A value computed on data to detect error or manipulation.
[CNSSI-4009]

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_______________________________________________________________________________________________

chief information officer The senior official that provides advice and other assistance to
[OMB A-130] the head of the agency and other senior management personnel
of the agency to ensure that IT is acquired and information
resources are managed for the agency in a manner that achieves
the agency’s strategic goals and information resources
management goals; and is responsible for ensuring agency
compliance with, and prompt, efficient, and effective
implementation of, the information policies and information
resources management responsibilities, including the reduction
of information collection burdens on the public.
common configuration A SCAP specification that provides unique, common identifiers
enumeration (CCE) for configuration settings found in a wide variety of hardware
and software products.27

common configuration A SCAP specification for measuring the severity of software

scoring system (CCSS) security configuration issues.
common platform A SCAP specification that provides a standard naming
enumeration (CPE) convention for operating systems, hardware, and applications
for the purpose of providing consistent, easily parsed names
that can be shared by multiple parties and solutions to refer to
the same specific platform type.28
common secure configurationA recognized standardized and established benchmark (e.g.,
National Checklist Program, DISA STIGs, CIS Benchmarks,
etc.) that stipulates specific secure configuration settings for a
given IT platform.
common vulnerabilities An SCAP specification that provides unique, common names
and exposures (CVE) for publicly known information system vulnerabilities.29

common vulnerability An SCAP specification for communicating the characteristics of

scoring system (CVSS) vulnerabilities and measuring their relative severity.30

component See system component.

configuration The possible conditions, parameters, and specifications with
which an information system or system component can be
described or arranged.
configuration baseline See baseline configuration.

27 CCE is maintained by NIST https://csrc.nist.gov/projects/scap/specs/cce.

28NIST hosts the CPE specifications and maintains the official CPE Dictionary. More information on CPE and the official CPE
Dictionary is available at https://csrc.nist.gov/projects/scap/specs/cpe.
29 CVE is maintained by MITRE https://cve.mitre.org/.
30 CVSS is maintained by the Forum of Incident Response and Security Teams https://www.first.org/cvss/.

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configuration control Process for controlling modifications to hardware, firmware,

[CNSSI-4009] software, and documentation to protect the information system
against improper modifications before, during, and after system
implementation.
configuration control A group of qualified people with responsibility for the process
board [CNSSI-4009] of regulating and approving changes to hardware, firmware,
software, and documentation throughout the development and
operational life cycle of an information system.
configuration item An aggregation of information system components that is
designated for configuration management and treated as a single
entity in the configuration management process.
configuration management A collection of activities focused on establishing and
maintaining the integrity of products and systems, through
control of the processes for initializing, changing, and
monitoring the configurations of those products and systems
throughout the system development life cycle.
configuration management A comprehensive description of the roles, responsibilities,
plan policies, and procedures that apply when managing the
configuration of products and systems.
configuration settings The set of parameters that can be changed in hardware,
software, and/or firmware that affect the security posture and/or
functionality of the information system.
end-point protection Safeguards implemented through software to protect end-user
platform machines such as workstations and laptops against attack (e.g.,
antivirus, antispyware, anti-adware, personal firewalls,
hostbased intrusion detection and prevention systems, etc.).
enterprise architecture A strategic information asset base, which defines the mission;
[44 USC 3601] the information necessary to perform the mission; the
technologies necessary to perform the mission; and the
transitional processes for implementing new technologies in
response to changing mission needs; and includes a baseline
architecture; a target architecture; and a sequencing plan.
executive agency An executive Department specified in 5 U.S.C., Sec. 101; a
[OMB A-130] 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.
extensible configuration SCAP language for specifying checklists and reporting checklist
checklist description results.
format (XCCDF)

APPENDIX B B-3
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federal information system An information system used or operated by an executive

[40 USC 11331] agency, by a contractor of an executive agency, or by another
organization on behalf of an executive agency.
host-based intrusion A program that monitors the characteristics of a single host and
detection and prevention the events occurring within that host to identify and stop
system suspicious activity.
[SP 800-94]
incident An occurrence that actually or potentially jeopardizes, without
[44 USC 3552] lawful authority, the confidentiality, integrity, or availability of
information or an information system; or constitutes a violation
or imminent threat of violation of security policies, security
procedures, or acceptable use policies.

information resources Information and related resources, such as personnel,

[44 USC 3502] equipment, funds, and information technology.
information security The protection of information and systems from unauthorized
[44 USC 3552]
access, use, disclosure, disruption, modification, or destruction
in order to provide confidentiality, integrity, and availability.
information system A discrete set of information resources organized for the
[44 USC 3502]
collection, processing, maintenance, use, sharing,
dissemination, or disposition of information.

information system A discrete identifiable IT asset that represents a building block

component of an information system.

information system A descriptive record of components within an information

component inventory system.
information system A formal document that provides an overview of the security
security plan [OMB requirements for an information system and describes the
A-130] security controls in place or planned for meeting those
requirements.

APPENDIX B B-4
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information technology Any services, equipment, or interconnected system(s) or

[OMB A-130] subsystem(s) of equipment, that are used in the automatic
acquisition, storage, analysis, evaluation, manipulation,
management, movement, control, display, switching,
interchange, transmission, or reception of data or information
by the agency. For purposes of this definition, such services or
equipment if used by the agency directly or is used by a
contractor under a contract with the agency that requires its use;
or to a significant extent, its use in the performance of a service
or the furnishing of a product. Information technology includes
computers, ancillary equipment (including imaging peripherals,
input, output, and storage devices necessary for security and
surveillance), peripheral equipment designed to be controlled by
the central processing unit of a computer, software, firmware
and similar procedures, services (including cloud computing
and help-desk services or other professional services which
support any point of the life cycle of the equipment or service),
and related resources. Information technology does not include
any equipment that is acquired by a contractor incidental to a
contract which does not require its use.
information technology See system component.
product
malicious code Software or firmware intended to perform an unauthorized
[SP 800-53] process that will have adverse impact on the confidentiality,
integrity, or availability of an information system. A virus,
worm, Trojan horse, or other code-based entity that infects a
host. Spyware and some forms of adware are also examples of
malicious code.
malware See Malicious malicious Ccode.
media Physical devices or writing surfaces including, but not limited
[FIPS 200] to, magnetic tapes, optical disks, magnetic disks, large-scale
integration (LSI) memory chips, and printouts (but excluding
display media) onto which information is recorded, stored, or
printed within system.
media library Stores, protects, and controls all authorized versions of media
CIs.
misconfiguration An incorrect or suboptimal configuration of an information
system or system component that may lead to vulnerabilities.
mobile code Software programs or parts of programs obtained from remote
[SP 800-53] systems, transmitted across a network, and executed on a local
system without explicit installation or execution by the
recipient.

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mobile mode Software programs or parts of programs obtained from remote

[SP 800-53] information systems, transmitted across a network, and
executed on a local information system without explicit
installation or execution by the recipient.
network-based intrusion An intrusion detection and prevention system that monitors
detection and prevention network traffic for particular network segments or devices and
system analyzes the network and application protocol activity to
[SP 800-94] identify and stop suspicious activity.
Open Checklist Interactive SCAP language for expressing security checks that cannot be
Language (OCIL) evaluated without some human interaction or feedback.

Open Vulnerability and SCAP language for specifying low-level testing procedures
Assessment Language used by checklists.
(OVAL)
organization An entity of any size, complexity, or positioning within an
[FIPS 200, Adapted] organizational structure (e.g., a federal agency, private
enterprises, academic institutions, state, local, or tribal
governments, or as appropriate, any of its operational
elements).
remote access Access to an organizational system by a user (or a process
[SP 800-53]
acting on behalf of a user) communicating through an external
network.
risk executive (function) An individual or group within an organization, led by the senior
[SP 800-39] accountable official for risk management, that helps to ensure
that security risk considerations for individual 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 managing
risk from individual systems is consistent across the
organization, reflects organizational risk tolerance, and is
considered along with other organizational risks affecting
mission/business success.
risk management The program and supporting processes to manage risk to
[OMB A-130] agency operations (including mission, functions, image,
reputation), agency assets, individuals, other organizations, and
the Nation, and includes: establishing the context for riskrelated
activities; assessing risk; responding to risk once determined;
and monitoring risk over time.

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safeguards Protective measures prescribed to meet the security objectives

[CNSSI-4009, Adapted] (i.e., confidentiality, integrity, and availability) specified for an
information system. Safeguards may include security features,
management controls, personnel security, and security of
physical structures, areas, and devices. Synonymous with
security controls and countermeasures.
security configuration The management and control of configurations for an
management (SecCM) information system to enable security and facilitate the
management of risk.
security content A protocol currently consisting of a suite of seven
automation protocol specifications31 that standardize the format and nomenclature by
(SCAP)
which security software communicates information about
software flaws and security configurations.
security control The safeguards or countermeasures prescribed for an
[OMB A-130] information system or an organization to protect the
confidentiality, integrity, and availability of the system and its
information.
security impact analysis The analysis conducted by an organizational official to
[CNSSI-4009, A adapted]
determine the extent to which a change to the information
system have affected the security state of the system.

security information and Application that provides the ability to gather security data
event management (SIEM) from information system components and present that data as
tool actionable information via a single interface.
security posture The security status of an enterprise’s networks, information,
[CNSSI-4009, Adapted] and systems based on information security resources (e.g.,
people, hardware, software, policies) and capabilities in place
to manage the defense of the enterprise and to react as the
situation changes. Synonymous with security status.
Senior Agency Official responsible for carrying out the Chief Information
Information Security Officer responsibilities under the Federal Information Security
Officer Modernization Act [FISMA] and serving as the Chief
[44 USC 3544] Information Officer’s primary liaison to the agency’s
authorizing officials, information system owners, and
information system security officers.
Note 1: With respect to SecCM, a Senior Agency Information Security Officer is
an individual that provides organization-wide procedures and/or templates for
SecCM, manages or participates in the Configuration Control Board, and/or
provides technical staff for security impact analyses.
Note 2: Organizations subordinate to federal agencies may use the term

Additional SCAP specifications are expected to be added or updated over time, check https://scap.nist.gov/ for updates.
31

SCAPValidated tools can be found at https://csrc.nist.gov/Projects/scap-validation-program/Validated-Products-and-Modules.

APPENDIX B B-7
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Senior Agency 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 See Senior Agency Information Security Officer.

officer
spyware Software that is secretly or surreptitiously installed into an
[CNSSI-4009] information system to gather information on individuals or
organizations without their knowledge; a type of malicious
code.
system Any organized assembly of resources and procedures united and
[CNSSI 4009] regulated by interaction or interdependence to accomplish a set
of specific functions.
Note: Systems also include specialized systems such as industrial/process
controls systems, telephone switching and private branch exchange (PBX)
systems, and environmental control systems.
system administrator An individual, group, or organization responsible for setting up
[SP 800-37] and maintaining a system or specific system elements,
implements approved secure baseline configurations,
incorporates secure configuration settings for IT products, and
conducts/assists with configuration monitoring activities as
needed.
system component A discrete identifiable information technology asset that
represents a building block of a system and may include
hardware, software, and firmware.

system owner (or program An organizational official responsible for the procurement,
manager) development, integration, modification, operation, maintenance,
[SP 800-37] and disposal of a system.
system security officer Individual with assigned responsibility for maintaining the
[SP 800-37]
appropriate operational security posture for an information
system or program.

system security plan See information system security plan.

system user An individual or (system) process acting on behalf of an
[SP 800-37] individual that is authorized to access information and
information systems to perform assigned duties.
Note: With respect to SecCM, an information system user is an individual who
uses the information system functions, initiates change requests, and assists
with functional testing.
threat Any circumstance or event with the potential to adversely
[SP 800-30] impact organizational operations, organizational assets,
individuals, other organizations, or the Nation through a system
via unauthorized access, destruction, disclosure, modification of
information, and/or denial of service.

APPENDIX B B-8
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threat source The intent and method targeted at the intentional exploitation of
[FIPS 200] a vulnerability or a situation and method that may accidentally
trigger a vulnerability. Synonymous with threat agent.

United States government The United States Government Configuration Baseline

configuration baseline (USGCB) provides security configuration baselines for
(USGCB)32 Information Technology products widely deployed across the
federal agencies. The USGCB baseline evolved from the federal
Desktop Core Configuration mandate. The USGCB is a Federal
government-wide initiative that provides guidance to agencies
on what should be done to improve and maintain effective
configuration settings focusing primarily on security.
user See system user.
vulnerability Weakness in an information system, system security
[CNSSI-4009, Adapted] procedures, internal controls, or implementation that could be
exploited or triggered by a threat source. Note: The term
weakness is synonymous for deficiency. Weakness may result in
security and/or privacy risks.
whitelist A list of discrete entities, such as hosts, email addresses,
[SP 800-167] network port numbers, runtime processes, or applications that
are authorized to be present or active on a system according to a
well-defined baseline.

32 https://usgcb.nist.gov/

APPENDIX B B-9
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APPENDIX C

ACRONYMS
COMMON ABBREVIATIONS

AO Authorizing Official
ARF Asset Reporting Format
BYOD Bring Your Own Device
CCB Configuration Control Board
CCE Common Configuration Enumeration
CCSS Common Configuration Scoring System
CD Compact Disc
CI Configuration Item
CIO Chief Information Officer
CIS Center for Internet Security
CISO Chief Information Security Officer
CM Configuration Management
CMMI Capability Maturity Model Integration
CNSS Committee for National Security Systems
COTS Commercial Off-the-Shelf
CPE Common Platform Enumeration
CVE Common Vulnerabilities and Exposures
CVSS Common Vulnerability Scoring System
DISA Defense Information Systems Agency
DMZ Demilitarized Zone
DNS Domain Name System
DVD Digital Video Disc
EPP Endpoint Protection Platform
FIPS Federal Information Processing Standards
FISMA Federal Information Security Modernization Act
IA Information Assurance
ICS Industrial Control System
IDPS Intrusion Detection and Prevention System
IEEE Institute of Electrical and Electronics Engineers
IPSEC Internet Protocol Security

APPENDIX C C-1
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ISO International Organization for Standardization

IT Information Technology
ITIL Information Technology Infrastructure Library
ITL Information Technology Laboratory
MAC Media Access Control
NetBIOS Network Basic Input/Output System
NIST National Institute of Standards and Technology
NISTIR National Institute of Standards and Technology Interagency Report
NVD National Vulnerability Database
OCIL Open Checklist Interactive Language
OMB Office of Management and Budget
OS Operating System
OVAL Open Vulnerability and Assessment Language
RFID Radio Frequency Identification
RMF Risk Management Framework
SA System Administrator
SAISO Senior Agency Information Security Officer
SC System Component
SCAP Security Content Automation Program
SDLC System Development Life Cycle
SecCM Security-Focused Configuration Management
SIEM Security Information and Event Management
SLA Service-Level Agreement
SP Special Publication
SSH Secure Shell
SSL Secure Socket Layer
SSO System Security Officer
STIG Security Technical Implementation Guidelines
SU System User
SWID Software Identification
TLS Transport Layer Security
TMSAD Trust Model for Security Automation Data

APPENDIX C C-2
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US-CERT United States Computer Emergency Readiness Team33

33 https://www.us-cert.gov/

APPENDIX C C-3
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USC United States Code

USGCB United States Government Configuration Baseline
VOIP Voice over Internet Protocol
VPN Virtual Private Network
XCCDF Extensible Configuration Checklist Description Format
XML Extensible Markup Language

APPENDIX C C-4
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APPENDIX D

SAMPLE OUTLINE FOR A SECURITY CONFIGURATION

MANAGEMENT PLAN
The following is an outline for developing a SecCM Plan for an organization and/or a system.
Organizations are encouraged to adapt the outline to make it suitable for their operational environment.

1. INTRODUCTION
1.1 BACKGROUND [Overview of SecCM and its purpose]
1.2 OVERVIEW OF SYSTEM [System description; may reference relevant
section of System Security Plan]
1.2.1 System Mission
1.2.2 Data Flow Description
1.2.3 System Architecture
1.2.4 System Administration and Management Activities
1.3 PURPOSE OF THIS DOCUMENT [Use of this document]
1.4 SCOPE [Applicability of this plan]
1.5 APPLICABLE POLICIES AND PROCEDURES
[List of applicable federal and organizational policies, standards, and
procedures]

2. SecCM PROGRAM
2.1 SecCMROLES AND RESPONSIBILITIES [Description of roles/responsibilities for
SecCM]
2.2 SecCM PROGRAM ADMINISTRATION [Policies, Procedures, CCB]
2.2.1 SecCM Policies and Procedures (included herein or by reference) 2.2.2
Configuration Control Board Functions
2.2.3 Establishment of Change Control Board at the Organization Level
2.2.4 Establishment of Change Control Board at the System Level
2.2.5 Schedules and Resource Requirements
2.3 SecCM TOOLS [Tools and Archival locations for CCB]
2.3.1 SCM Tools
2.3.2 SCM Library
2.4 SecCM RETENTION, ARCHIVING, STORAGE AND DISPOSAL
[Requirements for managing historical information on CIs, changes, etc.]

3. SecCM ACTIVITIES
3.1 CONFIGURATION IDENTIFICATION
3.1.1 Types of Configuration Items (CI) [Description of categories of CIs, such
as HW, Documentation, SW and scripts, Web pages]
3.1.2 Identification Criteria [How to determine which Information System
Components will be included with which CIs]
3.1.3 Configuration Item Labeling [Naming convention for CIs]
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3.2 CONFIGURATION BASELINING [Defining the information to be included in

baseline for each CI]

APPENDIX D D-1

3.2.1 Identification of Applicable Common Secure Configurations

3.2.2 Information System Component CI Baselines
3.2.3 Non-Component Object CI Baselines
3.3 CONFIGURATION CHANGE CONTROL [Requirements related to Configuration
Change Control]
3.3.1 Handling of Scheduled, Unscheduled, and Unauthorized Changes
3.3.2 Security Impact Analysis
3.3.3 Testing
3.3.4 Submission of Findings to the Change Control Board
3.3.5 Change Control Board Evaluation and Approval Process
3.3.6 Recording Requirements
3.4 SecCM MONITORING [Requirements related to monitoring baseline
configurations and adherence to SecCM policies]
3.4.1 Organization Level Tools
3.4.2 System Level Tools
3.4.3 Monitoring Requirements and Frequencies
3.5 SecCM REPORTING [Requirements related to reporting SecCM monitoring results
and statistics to appropriate organizational staff]
3.5.1 Report Recipients
3.5.2 Reviewing Reports

Potential SecCM Plan APPENDICES:

CCB Charter
Change Request Form Template
Security Impact Analysis Report Format
References
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APPENDIX D D-2

APPENDIX E

SAMPLE CHANGE REQUEST

A TEMPLATE

The following is a sample template for a Change Request artifact that can be used within a
SecCM program. Organizations are encouraged to adapt the change request to suit their needs.

1. Date Prepared:

2. Title of Change Request:

3. Change Initiator/Project Manager:

4. Change Description:

5. Change Justification:

6. Urgency of Change: {Scheduled/Urgent/Unscheduled}

7. System Components/CIs to be Changed:

8. Other System Components, CIs, or Systems to Be Affected by Change:

9. Personnel involved with the Change:

10. Expected Security Impact of Change:

11. Expected Functional Impact of Change:

12. Expected Impact of Not Doing Change:

13. Potential Interface/Integration Issues:

14. Required Changes to Existing Applications:

15. Project work plan including change implementation date, deliverables, and backout plan:

16. Funding Required to Implement Change:

Change Approved/Disapproved (include justification and/or further action to be taken if

disapproved):

Authorized Signature(s):

NOTE: Supporting documentation may be attached to the Change Request.

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APPENDIX E E-1
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APPENDIX F

BEST PRACTICES FOR ESTABLISHING SECURE

CONFIGURATIONS
Although there is no one-size-fits-all approach to SecCM, there are practices that organizations
consider when developing and deploying secure configurations. including:

1. Use Common Secure Configurations for Settings

Organizations consider available common secure configurations as the basis for establishing
secure configuration settings. A comprehensive source for information on configuration settings
is the National Checklist Program (https://checklists.nist.gov). The checklists cover a wide range
of commercial products and are written in a standardized format to facilitate automatic
assessment through SCAP-enabled tools.

Associated NIST [SP 800-53] Control: CM-6.

References:
NIST [SP 800-70]: National Checklist Program for IT Products-Guidelines for Checklist Users
and Developers; and https://nvd.nist.gov.

2. Centralize Policy and Common Secure Configurations for Configuration Settings

Where possible and appropriate, secure configurations are developed and implemented in a
topdown approach to ensure consistency across the organization. An example is the
implementation of the group policy functionality, which can be used to distribute secure
configuration policy in a centralized manner throughout established domains. Exceptions to the
organization’s policy may be needed to tailor configurations for a particular system to support
local constraints or requirements. Such exceptions are documented and approved as a part of the
baseline configuration for that information system.

Associated NIST [SP 800-53] Controls: CM-1; CM-6.

References: None.

3. Tailor Secure Configurations According to System/Component Function and Role

Secure configuration settings are tailored to the system component’s function. For example, a
server acting as a Windows domain controller may require stricter auditing requirements (e.g.,
auditing successful and unsuccessful account logons) than a file server. A public access Web
server in a DMZ may require that fewer services are running than in a Web server behind an
organization’s firewall supporting an intranet.

Associated NIST [SP 800-53] Controls: CM-6; RA-3.

References:
NIST [SP 800-41]: Guidelines on Firewalls and Firewall Policy;
NIST [SP 800-44]: Guidelines on Securing Public Web Servers;
NIST [SP 800-45]: Guidelines on Electronic Mail Security;

APPENDIX F F-1
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NIST [SP 800-46]: Guide to Enterprise Telework, Remote Access, and Bring Your Own
Device (BYOD) Security;
NIST [SP 800-52]: Guidelines for the Selection, Configuration, and Use of Transport Layer
Security (TLS) Implementations;
NIST [SP 800-54]: Border Gateway Protocol Security;
NIST [SP 800-58]: Security Considerations for Voice Over IP Systems;
NIST [SP 800-77]: Guide to IPsec VPNs;
NIST [SP 800-81-2]: Secure Domain Name System (DNS) Deployment Guide;
NIST [SP 800-82]: Guide to Industrial Control Systems (ICS) Security;
NIST [SP 800-92]: Guide to Computer Security Log Management;
NIST [SP 800-95]: Guide to Secure Web Services;
NIST [SP 800-97]: Establishing Wireless Robust Security Networks: A Guide to IEEE
802.11i;
NIST [SP 800-98]: Guidelines for Securing Radio Frequency Identification (RFID)
Systems;
NIST [SP 800-113]: Guide to SSL VPNs;
NIST [SP 800-121]: Guide to Bluetooth Security;
NIST [SP 800-123]: Guide to General Server Security; and
NIST [SP 800-124]: Guidelines for Managing the Security of Mobile Devices in the
Enterprise.

4. Eliminate Unnecessary Ports, Services, and Protocols (Least Functionality)

Devices are configured to allow only the necessary ports, protocols, and services in accordance
with functional needs and the risk tolerance in the organization. Open ports and available
protocols and services are an inviting target for attackers, especially if there are known
vulnerabilities associated with a given port, protocol, or service. Sources such as the NIST
National Vulnerability Database (NVD) are available for highlighting vulnerabilities in various
system components.

Associated NIST [SP 800-53] Control: CM-7.

References: https://nvd.nist.gov/.

5. Limit the Use of Remote Connections

While connecting remotely to systems allows more flexibility in how users and system
administrators accomplish their work, it also opens an avenue of attack popular with hackers.
Use of remote connections is limited to only those absolutely necessary for mission
accomplishment.

Associated NIST [SP 800-53] Control: AC-17.

References:
NIST [SP 800-41]: Guidelines on Firewalls and Firewall Policy;
NIST [SP 800-46]: Guide to Enterprise Telework, Remote Access, and Bring Your Own Device
(BYOD) Security;
NIST [SP 800-47]: Security Guide for Interconnecting Information Technology Systems;
NIST [SP 800-52]: Guidelines for the Selection, Configuration, and Use of Transport Layer
Security (TLS) Implementations;

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NIST [SP 800-54]: Border Gateway Protocol Security;
NIST [SP 800-77]: Guide to IPsec VPNs;
NIST [SP 800-81-2]: Secure Domain Name System (DNS) Deployment Guide;
NIST [SP 800-95]: Guide to Secure Web Services; and NIST [SP 800-113]:
Guide to SSL VPNs.
6. Develop Strong Password Policies

Passwords remain a common mechanism for authenticating the identity of users and if they are
poorly implemented or used, an attacker can undermine the best secure configuration.
Organizations stipulate password policies and related requirements with the strength appropriate
for protecting access to the organization’s assets.

Associated NIST [SP 800-53] Control: IA-2, IA-5.

References:
NIST [SP 800-63B]: Digital Identity Guidelines, Authentication and Lifecycle
Management;
NIST [SP 800-132]: Recommendation for Password-Based Key Derivation Part 1: Storage
Applications; and
NIST [SP 800-135]: Recommendation for Existing Application-Specific Key Derivation
Functions.

7. Implement Endpoint Protection Platforms (EPPs)

Endpoints (e.g., laptops, desktops, mobile devices) are a fundamental part of any organizational
system. Endpoints are an important source of connecting end users to networks and systems, and
are also a major source of vulnerabilities and a frequent target of attackers looking to penetrate a
network. User behavior is difficult to control and hard to predict, and user actions, whether it is
clicking on a link that executes malware or changing a security setting to improve the usability of
the endpoint, frequently allow exploitation of vulnerabilities. Commercial vendors offer a variety
of products to improve security at the “endpoints” of a network. These EPPs include:

a. Anti-malware

Anti-malware applications are part of the common secure configurations for system
components. Anti-malware software employs a wide range of signatures and detection
schemes, automatically updates signatures, disallows modification by users, run scans on
a frequently scheduled basis, has an auto-protect feature set to scan automatically when a
user action is performed (e.g., opening or copying a file), and may provide protection
from zero-day attacks. For platforms for which anti-malware software is not available,
other forms of anti-malware such as rootkit detectors may be employed.

b. Personal Firewalls

Personal firewalls provide a wide range of protection for host machines including
restriction on ports and services, control against malicious programs executing on the
host, control of removable devices such as USB devices, and auditing and logging
capability.

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c. Host-based Intrusion Detection and Prevention System (IDPS)

Host-based IDPS is an application that monitors the characteristics of a single host and
the events occurring within that host to identify and stop suspicious activity. This is
distinguished from network-based IDPS, which is an intrusion detection and prevention
system that monitors network traffic for particular network segments or devices and
analyzes the network and application protocol activity to identify and stop suspicious
activity.

d. Restrict the use of mobile code

Organizations exercise caution in allowing the use of "mobile code" such as ActiveX,
Java, and JavaScript. An attacker can easily attach a script to a URL in a Web page or
email that, when clicked, will execute malicious code within the computer’s browser.

Associated NIST [SP 800-53] Controls: SC-7, SC-18, SI-3, SI-4

References:
NIST [SP 800-28]: Guidelines on Active Content and Mobile Code;
NIST [SP 800-41]: Guidelines on Firewalls and Firewall Policy;
NIST [SP 800-47]: Security Guide for Interconnecting Information Technology Systems;
NIST [SP 800-54]: Border Gateway Protocol Security;
NIST [SP 800-94]: Guide to Intrusion Detection and Prevention Systems (IDPS);
NIST [SP 800-124]: Guidelines for Managing the Security of Mobile Devices in the Enterprise;
and
NIST [SP 800-179]: Guide to Securing Apple OS X 10.10 System for IT Professional: A NIST
Security Configuration Checklist.

8. Use Cryptography

In many systems, especially those processing, storing, or transmitting information that is

moderate impact or higher for confidentiality, cryptography is considered to be part of the secure
configuration of the system. There are a variety of places to implement cryptography to protect
data including individual file encryption, full disk encryption, Virtual Private Network
connections, etc.

Associated NIST [SP 800-53] Control: SC-13

References:
[FIPS 140-3]: Security Requirements for Cryptography Modules;
NIST [SP 800-25]: Federal Agency Use of Public Key Technology for Digital Signatures and
Authentication;
NIST [SP 800-32]: Introduction to Public Key Technology and the Federal PKI Infrastructure;
NIST [SP 800-57]: Recommendation for Key Management, Part 1: General;
NIST [SP 800-57]: Recommendation for Key Management, Part 2: Best Practices for Key
Management Organization;
NIST [SP 800-57]: Recommendation for Key Management, Part 3: Application-Specific
Key Management Guidance;
NIST [SP 800-107]: Recommendation for Applications Using Approved Hash Algorithms;
NIST [SP 800-111]: Guide to Storage Encryption Technologies for End User Devices;

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NIST [SP 800-130]: A Framework for Designing Cryptographic Key Management Systems;
NIST [SP 800-131A]: Transitions: Recommendation for Transitioning the Use of Cryptographic
Algorithms and Key Lengths; and
NIST [SP 800-175B]: Guideline for Using Cryptographic Standards in the Federal Government:
Cryptographic Mechanisms.

9. Develop a Patch Management Process

A robust patch management process is important in reducing vulnerabilities in a system. As

patches greatly impact the secure configuration of a system, the patch management process is
integrated into SecCM at a number of points within the four SecCM phases including:

• Performing security impact analysis of patches;

• Testing and approving patches as part of the configuration change control process;
• Updating baseline configurations to include current patch level; •
Assessing patches to ensure they were implemented properly; and
• Monitoring systems/components for current patch status.

Associated NIST [SP 800-53] Controls: CM-2, CM-3, CM-4, SI-2

References:
NIST [SP 800-40]: Guide to Enterprise Patch Management Technologies.

10. Control Software Installation

The installation of software is a point where many vulnerabilities are introduced into an
organizational system. Malware or insecure software can give attackers easy access to an
organization’s otherwise tightly protected network. Although the simplest approach is to lock
down computers and manage software installation centrally (i.e., at the organizational level), this
is not always a viable option for some organizations. Other methods for controlling the
installation of software include:

• Whitelisting – All software is checked against a list approved by the organization;

• Checksums – All software is checked to make sure the code has not changed;
• Certificate – Only software with signed certificates from a trusted vendor is used;
• Path or domain – Only software within a directory or domain can be installed; and
• File extension – Software with certain file extensions such as .bat cannot
be installed.

Associated NIST [SP 800-53] Controls: CM-5, CM-7, CM-11, SI-7.

References:
NIST [SP 800-167]: Guide to Application Whitelisting.

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APPENDIX G

SECCM PROCESS FLOW CHARTS

The following flow charts provide examples of the SecCM phases and SecCM activities for those
phases that could be considered in developing SecCM processes. Organizations are encouraged to
adapt the flow charts to make it suitable for them operating environment.

Security-Focused Configuration Management Phases

Identifying and Controlling

Planning Implementing Configuration Monitoring
Configurations Changes

Organizational-Level Security-Focused Configuration Management Program

Planning Step Tasks
(Section 3.1.1)
Develop Determine pre-
Establish Develop Organizational-Level approved changes
Develop the SecCM
Organizational- Organizational-Level Procedures, and changes that do
Monitoring Strategy
Level SecCM SecCM Policies Baselines, and not require
Program Templates Configuration Control

Establish
Monitor SecCM Develop
Organizational- Identify approved
Program and Organizational-Level
Level SecCM Test IT Products and
revise as SecCM Training
Environment and SecCM Tools
necessary
Program

System-Level Security-Focused Configuration Management Program Planning

Step Tasks
(Section 3.1.2)

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Yes

Do organizational Develop System-Level Is an appropriate

Develop SecCM Plan
policies and procedures Policies and Procedures Change Control Board
for the System No
adequately cover system- (as needed to fill gaps) available at the
Level SecCM needs? organizational level?

No

Yes

Are the Enterprise

Implement
Implement System- tools sufficient to meet Implement Change
No Organization-provided
Level Tools the needs of the Control Board for the
(Enterprise) tools at the
(as needed to fill gaps
) system? System
System Level

Yes

Create the Component

Inventory
No
Determine the System
Has the Component Configuration Items
Inventory been created?

Update the Component

Inventory
Yes

Monitor SecCM
Plan and revise as
necessary

System-Level Security-Focused Configuration Management Identifying

and Implementing Configurations Step Tasks
(Section 3.2)

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Establish secure configurations

for all system Configuration Prioritize order of
Items (CIs) - Conduct functional testing
configuration
Start with any mandated Secure of configuration
implementation
Baselines (section 3.2.1) (section 3.2.2)
(section 3.2.2)

Resolve issues and

Does each CI function
document deviations from
No correctly after the implementation of
the mandated baselines
( section 3.2.2)
the configuration?

Yes

Document the
final/adjusted secure baselines
for all CIs
(section 3.2.2)

No

Continue deploying
Have the final/adjusted secure Yes settings to all CIs Do all CIs have secure configuration
baselines been approved in (section 3.2.2) baselines implemented?
accordance with organizational
policy?

Yes
No

Document baseline
Identifying and configuration(s) for the overall
Implementing Information System
Configurations Step is (section 3.2.2)
complete

System-Level Security-Focused Configuration Management

Controlling Configuration Changes Step Tasks
(Section 3.3)
Document procedures Implement access Implement
for controlling changes restrictions for configuration Conduct security
to configuration changes change control impact analyses
baselines (Section 3.3.1) process (Section 3.3.3)
(Section 3.3.2)

Controlling Configuration Change – Implement Configuration Change Control Process

(Section 3.3.2)

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No
Document the Test the proposed Submit the request
Analyze the
request for the change to verify and the findings
change for impact
change security and from the analyses
on security and
Is a change to the baseline functionality and testing to the
needed (all types functionality
impact analyses CCB for approval
of changes)?
No

Is the change on the list of

Yes Is the change approved
exempt or pre-approved No
changes? by the CCB ?

Can compensating
controls be implemented to
No
mitigate risk posed by the
proposed change?

Modify change
documentation,
implement
Yes
compensating control(s)
Yes and/or modify the
Can the change be modified change, and retest
such that the risk is reduced?
Yes

No
Yes

Implement the
Is the Authorizing Official change (promote
Abandon the to production)
No willing to accept the risk posed Confirm the
change
by the proposed change? change was
implemented
Yes correctly

Retain several
Document the
iterations of
Process for changes to the
baselines for audit,
change is baseline (which
incident response,
complete becomes the new
and historical
baseline)
purposes

Controlling Configuration Changes – Conduct Security Impact Analyses

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NIST SP 800-128 GUIDE FOR SECURITY-FOCUSED CONFIGURATION MANAGEMENT OF INFORMATION SYSTEMS
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(Section 3.3.3)

Identify vulnerabilities
in proposed HW/SW Conduct risk
Learn about and products (NVD), assessment of any
Does a change request
Yes understand the employ best discovered
require security impact
change practices, run vulnerabilities (impact
analysis?
application/code & likelihood)
scans, etc.

No

Assess impact of Assess impact of

Is the change significant
proposed change on proposed change on
enough that the system
functionality of the existing security
authorization is in question?
system or CI controls

No

Yes

Meet with Authorizing

Official and System Document findings,
Owner to determine if a attach them to the
re-authorization is change request, and Impact Analysis
necessary. CCB or submit to the CCB Complete
RE(F) may also be
involved in this
decision.

Organizational-Level Security-Focused Configuration Management Program Monitoring Step

Implement the SecCM Monitoring Strategy and Schedule

(Section 3.4)

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Document actions to Document a process for

Document a process for
Obtain the SecCM be taken when analyzing inconsistencies/
reconciling inconsistencies/
monitoring strategy inconsistencies are undocumented changes to
undocumented changes
developed during the discovered as a result of determine why/how they
with approved changes.
planning phase monitoring activities. occurred.

Provide templates (if any)

Implement SCAP Document metrics that are Document reporting
and descriptions of tools to
compliant tools to the to be generated from requirements for monitoring
be used for SecCM
greatest extent monitoring activities. results.
monitoring.
possible.

Conduct SecCM
monitoring activities
Document any system- (scanning, audit Analyze and report on
Take action in
specific monitoring strategy records monitoring, monitoring results as
accordance with
requirements not already record reviews, etc.) in indicated in monitoring
monitoring procedures
addressed. accordance with the procedures
schedule outlined in
the strategy

Review and adjust

SecCM monitoring
strategy and
procedures to ensure
organizational security
requirements continue
to be met

APPENDIX G G-6
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APPENDIX H
CCB CHARTER SAMPLE
The following is a sample template for a CCB charter that can be used within a SecCM program.
Organizations are encouraged to adapt it to suit their needs.
Configuration Control Board Charter
PURPOSE
<Describe the objectives of the CCB. It might say something like:“The Configuration Control
Board (CCB) represents the interests of program and project management by ensuring that a
structured process is used to consider proposed changes and incorporate them into a specified
release of a product. The CCB shall request that impact analysis of proposed changes be
performed, review change requests, make decisions, and communicate decisions made to affected
groups and individuals.” Define the relationship of this CCB to any other CCBs in the
organization or other decision-making bodies, such as a project steering committee.>

SCOPE OF AUTHORITY
<Indicate the scope of decisions that the CCB makes. This scope could be over a specific
organizational range; a project, group of projects (program), or subproject; a maximum budget
or schedule impact. This scope boundary separates decisions that this CCB can make from those
that it must escalate to a higher-level CCB or manager for resolution.>

MEMBERSHIP
<List the members of this CCB. The CCB typically includes representatives from program
management, project management, software engineering, hardware engineering, testing,
documentation, customer support, and marketing. One individual is designated as the CCB Chair.
Keep the CCB as small as possible, to facilitate its ability to make rapid decisions, but make sure
that the critical perspectives are represented.>

OPERATING PROCEDURES
<State the frequency of regularly scheduled CCB meetings and the conditions that will trigger a
special meeting. Describe how meetings will be conducted, the number of CCB members who
constitute a quorum to make decisions at a meeting, and the roles that must be represented for the
meeting to proceed. Identify whether guest participants may attend, such as the individuals who
proposed the change requests being considered at a specific meeting.>

DECISION-MAKING PROCESS
<Describe how the CCB will make its decisions. Indicate whether voting, consensus, unanimity,
delegation to a specific individual, or some other decision rule is used to make decisions. State
whether the CCB Chair or another manager is permitted to overrule the CCB’s collective
decision.>

COMMUNICATING STATUS
<Describe how each decision that the CCB makes will be communicated to the individual who
requested the change, senior management, project management, affected team members who
NIST SP 800-128 GUIDE FOR SECURITY-FOCUSED CONFIGURATION MANAGEMENT OF INFORMATION
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_______________________________________________________________________________________________
must implement the change, higher- or lower-level CCBs, and any other stakeholders. Indicate
where the decisions and any supporting information, rationale, or data will be stored.>

APPENDIX H H-1

APPENDIX I

SAMPLE SECURITY IMPACT ANALYSIS TEMPLATE

The following is a sample template for a Security Impact Analysis that can be used within
a SecCM program. Organizations are encouraged to adapt it to suit their needs.

The [insert relevant parties, e.g., Change Control Board, system owner, system
security officer (SSO),system administrators, security assessors] complete Tables 1-5,
which will be used to review the change and determine requirements.

Table 1: Initiative/Release Background

[TEMPLATE NOTE: Pre-filled information in Table 1 is for illustrative purposes

only and should be replaced with information applicable to individual organizations]
Initiative/Release Name
Project Type [Examples only]:
-New Development: [insert description]
-Enhancement: [insert description]
-Maintenance: [insert description]
[Insert project types and descriptions as applicable]
System Changes Provide an overview of the changes.
Baseline Changes Provide description of the new baseline.
Security Risks Provide any risks or impacts on the system.
Planned Deployment
Initiation Date
Planned Deployment
Completion Date
System(s) Impacted by
change
Current Security
Categorization of
Impacted System(s)
[Insert initiative/release
background info required
by the organization as
applicable]

APPENDIX I I-1
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_______________________________________________________________________________________________

Table 2: Initiative/Release Description and Potential Security Issues

[TEMPLATE NOTE: Pre-filled information in Table 2 is for illustrative purposes only

and should be replaced with information applicable to individual organizations]
What are the business requirements driving the change?

Please provide a description of the proposed change(s), including ALL additions,

deletions, and modifications.

Is the Technical Lead and/or Project Lead aware of any potential security-related
issues or challenges associated with this change? If so, briefly describe them or
provide and attachment describing them.

Table 3: Change Type Worksheet

Please review the list of Change Types below. In the second column, mark each
applicable change type with an “X”. Provide a brief explanation of why applicable
change types are selected in the third column. The change types are not intended
to be mutually exclusive, so multiple change types may be selected for a single
initiative/release. If none of the change types are applicable, please mark “Other
change” and provide a description of the change in the third column.

[TEMPLATE NOTE: Change type provided in Table 3 are for illustrative purposes
only and should be replaced with changes types applicable to individual
organizations]
Applicable?
Explanation (If
Change Type (Mark X if
Applicable)
Applicable)
New network device(s) (e.g., router, switch,
firewall, VPN gateway)
New server(s)
New workstation(s) (desktops or laptops)
Other new HW
Decommissioning of existing HW

APPENDIX I I-2
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New virtual server
New OS
Upgrade of existing OS
New COTS application
Upgrade or patch of COTS application
New custom application
Upgrade or bug fix for existing custom
application
New DBMS (e.g., Microsoft SQL Server or
Oracle)
Upgrade of existing DBMS (e.g., Oracle 9i
to 10g)
Addition of new DB instance
Modification of an existing DB instance
(e.g., changes to a table)
Applicable?
Explanation (If
Change Type (Mark X if
Applicable)
Applicable)
New or upgraded Middleware application
or service
Modifications to ports, protocols, and
services used or provided by the system
Changes intended to address security
requirements or improve/modify the
security of the system (e.g., cryptographic
modules, security patch, authentication,
authorization, role changes)
New information type processed, stored, or
transmitted on the system
Interface change (addition/removed)
Change of location
Other change

Table 4: Device Impact Worksheet

[TEMPLATE NOTE: Column headings in Table 4 are for illustrative purposes only
and should be replaced with information relevant/applicable to individual
organizations]

APPENDIX I I-3
NIST SP 800-128 GUIDE FOR SECURITY-FOCUSED CONFIGURATION MANAGEMENT OF INFORMATION
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_______________________________________________________________________________________________
ce Asset/
System Devi IP Manufacturer Serial Descripti
Component OS Software
Name Name Address Model No. on
Property ID

Table 5: Testing Worksheet

[TEMPLATE NOTE: Pre-filled information in Table 5 is for illustrative purposes

only and should be replaced with information applicable to individual organizations]
Please describe the tests that were conducted against the change?

Please provide a description of the test results for each change (or provide
reference to another document with test results).

Table 6: Analysis Worksheet

[TEMPLATE NOTE: Pre-filled information in Table 5 is for illustrative purposes

only and should be replaced with information applicable to individual organizations]
Analysis, Recommendations, and Requirements

[Reviewed by: Name (Title)]

Signature

_______________________________________ ____________
[Insert relevant role] [Date]

Signature

_______________________________________ ____________
[Insert relevant role] [Date]
APPENDIX I I-4
NIST SP 800-128 GUIDE FOR SECURITY-FOCUSED CONFIGURATION MANAGEMENT OF INFORMATION
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_______________________________________________________________________________________________

Signature

_______________________________________ ____________
[Insett relevant role] [Date]

ATTACHMENT I
SECURITY IMPACT WORKSHEET

1. AC: Will change(s) to system effect how the system limits: (i) system access to
authorized users, processes acting on behalf of authorized users or devices (including
other systems); and (ii) the types of transactions and functions that authorized users are
permitted to exercise.
If so, describe.

2. AT: Will change(s) affect required system training to ensure that personnel are
adequately trained to carry out their assigned information security-related duties and
responsibilities?
If so, describe.

3. AU: Will change(s) affect how system audit requirements to (i) create, protect, and
retain system audit records to the extent needed to enable the monitoring, analysis,
investigation, and reporting of unlawful, unauthorized, or inappropriate system activity;
and (ii) ensure that the actions of individual system users can be uniquely traced to those
users so they can be held accountable for their actions.
If so, describe.

4. CM: Will change(s) to the system impact the (i) baseline configuration and inventory
of organizational systems; (ii) establishment and enforcement of security configuration
settings; and (iii) ability to monitor and control changes to the baseline configurations
and to the constituent components of the systems (including hardware, software,
firmware, and documentation) throughout the respective system development life cycle.
If so, describe.

5. IA: Will change(s) to the system impact how it (i) identifies users, processes acting
on behalf of users, or devices; and (ii) authenticates (or verifies) the identities of those
users, processes, or devices, as a prerequisite to allowing access to organizational
systems. If so, describe.

6. MA: Will change(s) to the system impact how (i) periodic and timely maintenance is
performed; and (ii) provide effective controls on the tools, techniques, mechanisms, and
personnel used to conduct system maintenance.
If so, describe.

APPENDIX I I-5
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_______________________________________________________________________________________________
7. MP: Will change(s) to the system impact how (i) information contained in the
systems in printed form or on digital media is protected; (ii) access to information in
printed form or on digital media removed from the systems is limited to authorized users;
and (iii) how digital media is sanitized or destroyed before disposal or release for reuse. If
so, describe.

8. PE: Will change(s) to the system/system environment change how (i) physical access
to systems, equipment, and the respective operating environments is limited to authorized
individuals; (ii) the physical plant and support infrastructure for systems is protected; (iii)
supporting utilities for systems is provided; (iv) and (v) appropriate environmental
controls in facilities are provided.
If so, describe.

9. SC: Will change(s) to the system effect how: (i) communications (i.e., information
transmitted or received by organizational systems) are monitored, controlled, and
protected at the external boundaries and key internal boundaries of the systems; and (ii)
architectural designs, software development techniques, and systems engineering
principles that promote effective information security are implemented. If so, describe.

10. SI: Will change(s) to the system effect how (i) system flaws are identified, reported,
and corrected in a timely manner; (ii) malicious code protection is employed; (iii) system
events are monitored and detected; (iv) the correct operation of security functions is
verified; and (v) information is checked for accuracy, completeness, validity, and
authenticity.
If so, describe.

APPENDIX I I-6