Forwarded from: Elizabeth Lennon <elizabeth.lennon@private>
GUIDE FOR MAPPING TYPES OF INFORMATION AND INFORMATION
SYSTEMS TO SECURITY CATEGORIES
By William C. Barker
Computer Security Division
Information Technology Laboratory
National Institute of Standards and Technology
Technology Administration
U.S. Department of Commerce
Introduction
In response to the requirements of Title III of the E-Government Act
(Public Law 107-347), titled the Federal Information Security
Management Act (FISMA), ITL recently published NIST Special
Publication (SP) 800-60, Guide for Mapping Types of Information and
Information Systems to Security Categories. Summarized in this ITL
Bulletin, the guide was developed to assist federal government
agencies to categorize information and information systems with
respect to a range of levels of impact or consequences that might
result from the unauthorized disclosure, modification, or loss of
availability of the information or information system. SP 800-60
applies to all federal systems other than national security systems as
defined in FISMA and NIST SP 800-59, Guideline for Identifying an
Information System as a National Security System. SP 800-60 and its
appendices:
* Review the security categorization terms and definitions
established by Federal Information Processing Standard
(FIPS) 199, Standards for Security Categorization of
Federal Information and Information Systems;
* Recommend a security categorization process;
* Describe a methodology for identifying types of federal
information and information systems;
* Suggest provisional security impact levels for common
information types;
* Identify information attributes that may result in
variances from the provisional impact level assignment; and
* Describe how to establish a system security categorization
based on the system's use, connectivity, and aggregate
information content.
SP 800-60 is intended as a reference resource rather than as a
tutorial. Not all of the material will be relevant to all agencies. SP
800-60 includes two volumes: Volume I is a basic guideline and Volume
II contains appendices. Users should review the guidelines provided in
Volume I, then refer to only the material from the appendices that is
applicable.
The provisional impact assignments contained in the appendices are
only the first step in impact assignment and subsequent risk
assessment processes. The impact assignments are not intended to be
used by auditors as a definitive checklist for information types and
impact assignments.
The primary source for the information types is the Office of
Management and Budget's Federal Enterprise Architecture Program
Management Office June 2003 publication, The Business Reference Model
Version 2.0 (BRM). The BRM describes functions relating to the:
- Purpose of government (missions, or services to citizens),
- Mechanisms the government uses to achieve its purpose
(modes of delivery),
- Support functions necessary to conduct government
(support services), and
- Resource management functions that support all areas of
the government's business (management of resources).
The information types associated with support services and management
of resources functions are included in the management and support
types. Some additional information types have been added at the
request of federal agencies. The information types associated with
services to citizens and modes of delivery functions are included in
the mission-based information types.
Volume II lists legal and executive sources that establish sensitivity
and/or criticality characteristics for specific types of information
processed by the federal government. Citations from the United States
Code and Executive Orders are listed in Appendix E.
Security Categorization of Information and Information Systems
FIPS 199 defines the security categories, security objectives, and
impact levels to which SP 800-60 maps information types. FIPS 199 also
describes the context of use for this guideline.
The impact levels for the management and support information common to
many agencies are strongly affected by the mission-based information
with which it is associated. Each organization should review the
provisional information impact levels in the context of its own
operational environment, then accept or revise impact levels
accordingly. The impact level of information can be defined only
within the context of an organization's operational environment.
Generally, information systems process many types of information. Not
all of these information types are likely to have the same impact
levels. The compromise of some information types will jeopardize
system functionality and agency mission more than the compromise of
other information types. System impact levels must be assessed in the
context of system mission and function as well as on the basis of the
aggregate of the component information types.
FIPS 199 establishes three impact levels relevant to securing federal
information for three security objectives (confidentiality, integrity,
and availability). A loss of confidentiality is the unauthorized
disclosure of information. A loss of integrity is the unauthorized
modification or destruction of information. A loss of availability is
the disruption of access to or use of information or an information
system. The generalized format for expressing the security category,
or SC, of an information type is:
SCinformation type = {(confidentiality, impact),
(integrity, impact), (availability, impact)}
where the acceptable values for potential impact are LOW,
MODERATE, HIGH, or NOT APPLICABLE.
Mapping Information Types to Security Controls and Impact Levels
SP 800-60 specifies the following step-by-step methodology for mapping
information types and information systems to security controls and
impact levels:
* Identify information systems. An information system may be a general
support system, a major application, or a local or special purpose
system. Agencies should develop their own policies regarding system
identification for security categorization purposes.
* Identify information types. The user should identify all of the
information types that are input, stored, processed, and/or output
from each system.
* Select provisional impact levels. The user should select the
provisional impact levels for each identified information type from
Appendices C and D.
* Review and adjust provisional impact levels. The user should review
the appropriateness of the provisional impact levels recommended for
each information type based on the organization, environment,
mission, use, and connectivity associated with the system under
review. After reviewing the provisional impact levels, adjustments
should be made to the impact levels as appropriate.
* Assign system security category. The user establishes the
level of confidentiality, integrity, and availability impacts
associated with the system under review. The adjusted impact levels
for information types are reviewed with respect to the aggregate of
all information processed in or by each system.
Following completion of the system security categorization process,
the resulting impact level can be used as an input to a system risk
assessment and in selection of the security controls necessary for
each system. The minimum security controls recommended for each system
security category will be found in DRAFT NIST SP 800-53, Recommended
Security Controls for Federal Information Systems.
Information Type Identification
SP 800-60 suggests a methodology that can be employed for
identification of information types:
* Identify the fundamental business areas (management and support) or
mission areas (mission-based) supported by the system under review;
* Identify, for each business or mission area, the operations or lines
of business that describe the purpose of the system in functional
terms;
* Identify the subfunctions necessary to carry out each area of
operation or line of business;
* Select basic information types associated with the identified
subfunctions; and where appropriate; and
* Identify any information type processed by the system that is
required by statute, Executive Order, or agency regulation to
receive special handling (e.g., with respect to unauthorized
disclosure or dissemination). This information may be used to adjust
the information type or system impact level.
Once a set of information types has been selected, the agency should
review the information processed by the system to see if additional
types need to be identified for impact assessment purposes.
Selection of Provisional Impact Levels
Appendix C suggests provisional confidentiality, integrity, and
availability impact levels for management and support information
types, and Appendix D provides examples of provisional impact levels
for some mission-based information types. Where an information type
processed by a system is not categorized by this guideline, an initial
impact determination will need to be made based on FIPS 199 criteria.
An agency may identify information types not listed in SP 800-60 or
may choose not to select provisional impact levels from Appendix C
(for management and support information types) or Appendix D (for
mission-based information types). In such cases, the agency should
employ the following criteria to determine provisional impact levels.
- The potential impact is low if the loss of confidentiality,
integrity, or availability could be expected to have a limited
adverse effect on organizational operations, organizational assets,
or individuals.
- The potential impact is moderate if the loss of confidentiality,
integrity, or availability could be expected to have a serious
adverse effect on organizational operations, organizational assets,
or individuals.
- The potential impact is high if the loss of confidentiality,
integrity, or availability could be expected to have a severe or
catastrophic adverse effect on organizational operations,
organizational assets, or individuals.
Review and Adjustment/Finalization of Information Impact Levels
Particularly where security categorization impact levels recommended
in Appendix D are adopted as provisional levels, the agency should
review the appropriateness of the provisional impact levels in the
context of the organization, environment, mission, use, and
connectivity associated with the system under review. The
confidentiality, integrity, and availability impact levels may be
adjusted one or more times in the course of the review. Once the
review and adjustment process is complete for all information types,
the mapping of impact levels by information type can be finalized. The
impact of compromise of information of a particular type can be
different in different agencies or in different operational contexts.
Also, the impact for an information type may vary throughout the life
cycle.
System Security Categorization
Once the impact levels have been selected for individual information
types processed by a system, it is necessary to assign a system
security category. Determining the security category of an information
system requires additional analysis and must consider the security
categories of all information types resident on the information
system. The potential impact values assigned to each security
objective (confidentiality, integrity, availability) are the highest
values (i.e., high water mark) for any one of these objectives that
has been determined for the types of information resident on the
information system.
While the value of not applicable can apply to specific information
types processed by systems, this value cannot be assigned to any
security objective for an information system. There is a minimum
provisional impact (i.e., low water mark) for a compromise of
confidentiality, integrity, and availability for an information
system. This is necessary to protect the system-level processing
functions and information critical to the operation of the information
system.
The generalized format for expressing the security category, or SC, of
an information system is: SC information system = {(confidentiality,
impact), (integrity, impact), (availability, impact)}, where the
acceptable values for potential impact are LOW, MODERATE, or HIGH.
Variations in sensitivity/criticality with respect to time may need to
be factored into the impact assignment process. Some information
loses its sensitivity in time (e.g., economic/commodity projections
after they've been published). Other information is particularly
critical at some point in time (e.g., weather data in the terminal
approach area during aircraft landing operations). Other factors that
SP 800-60 addresses with respect to making system-level impact
decisions include aggregation, critical system functionality, web page
integrity, catastrophic loss of system availability, critical
infrastructures and key national assets, privacy information, and
trade secrets.
NIST SP 800-60 is available for download at our Computer Security
Resource Center at http://csrc.nist.gov/publications/. Other
publications mentioned in this bulletin are also available at this
website.
Disclaimer: Any mention of commercial products or reference to
commercial organizations is for information only; it does not imply
recommendation or endorsement by the National Institute of Standards
and Technology nor does it imply that the products mentioned are
necessarily the best available for the purpose
Elizabeth B. Lennon
Writer/Editor
Information Technology Laboratory
National Institute of Standards and Technology
100 Bureau Drive, Stop 8900
Gaithersburg, MD 20899-8900
Telephone (301) 975-2832
Fax (301) 840-1357
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