Doc:NIST SP 800-53Ar1 Appendix F/Enhanced/PS/High

NIST SP 800-53Ar1 Assessment Procedure Catalog, with SP 800-53r3 Security Controls

PERSONNEL SECURITY

PS-1 PERSONNEL SECURITY POLICY AND PROCEDURES

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FAMILY: PERSONNEL SECURITY

CLASS: OPERATIONAL

Security Control Baseline:

PS-1

Personnel Security Policy and Procedures

P1

LOW PS-1

MOD PS-1

HIGH PS-1

SECURITY CONTROL

ASSESSMENT PROCEDURE
PS-1	PERSONNEL SECURITY POLICY AND PROCEDURES
PS-1.1	ASSESSMENT OBJECTIVE: Determine if: (i) the organization develops and formally documents personnel security policy; (ii) the organization personnel security policy addresses: purpose; scope; roles and responsibilities; management commitment; coordination among organizational entities; and compliance; (iii) the organization disseminates formal documented personnel security policy to elements within the organization having associated personnel security roles and responsibilities; (iv) the organization develops and formally documents personnel security procedures; (v) the organization personnel security procedures facilitate implementation of the personnel security policy and associated personnel security controls; and (vi) the organization disseminates formal documented personnel security procedures to elements within the organization having associated personnel security roles and responsibilities. POTENTIAL ASSESSMENT METHODS AND OBJECTS: Examine: [SELECT FROM: Personnel security policy and procedures, other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with personnel security responsibilities].
PS-1.2	ASSESSMENT OBJECTIVE: Determine if: (i) the organization defines the frequency of personnel security policy reviews/updates; (ii) the organization reviews/updates personnel security policy in accordance with organization-defined frequency; and (iii) the organization defines the frequency of personnel security procedure reviews/updates; (iv) the organization reviews/updates personnel security procedures in accordance with organization-defined frequency. POTENTIAL ASSESSMENT METHODS AND OBJECTS: Examine: [SELECT FROM: Personnel security policy and procedures; other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with personnel security responsibilities].

PS-2 POSITION CATEGORIZATION

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FAMILY: PERSONNEL SECURITY

CLASS: OPERATIONAL

Security Control Baseline:

PS-2

Position Categorization

P1

LOW PS-2

MOD PS-2

HIGH PS-2

SECURITY CONTROL

ASSESSMENT PROCEDURE
PS-2	POSITION CATEGORIZATION
PS-2.1	ASSESSMENT OBJECTIVE: Determine if: (i) the organization assigns a risk designation to all positions within the organization; (ii) the organization establishes a screening criteria for individuals filling organizational positions; (iii) the organization defines the frequency of risk designation reviews and updates for organizational positions; and (iv) the organization reviews and revises position risk designations in accordance with the organization-defined frequency. POTENTIAL ASSESSMENT METHODS AND OBJECTS: Examine: [SELECT FROM: Personnel security policy; procedures addressing position categorization; appropriate codes of federal regulations; list of risk designations for organizational positions; security plan; records of risk designation reviews and updates; other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with personnel security responsibilities].

PS-3 PERSONNEL SCREENING

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FAMILY: PERSONNEL SECURITY

CLASS: OPERATIONAL

Security Control Baseline:

PS-3

Personnel Screening

P1

LOW PS-3

MOD PS-3

HIGH PS-3

SECURITY CONTROL

ASSESSMENT PROCEDURE
PS-3	PERSONNEL SCREENING
PS-3.1	ASSESSMENT OBJECTIVE: Determine if: (i) the organization screens individuals prior to authorizing access to the information system; (ii) the organization defines conditions requiring re-screening and, where re-screening is so indicated, the frequency of such re-screening; and (iii) the organization re-screens individuals according to organization-defined conditions requiring re-screening and, where re-screening is so indicated, the organization-defined frequency of such re-screening. POTENTIAL ASSESSMENT METHODS AND OBJECTS: Examine: [SELECT FROM: Personnel security policy; procedures addressing personnel screening; records of screened personnel; security plan; other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with personnel security responsibilities].

PS-4 PERSONNEL TERMINATION

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FAMILY: PERSONNEL SECURITY

CLASS: OPERATIONAL

Security Control Baseline:

PS-4

Personnel Termination

P2

LOW PS-4

MOD PS-4

HIGH PS-4

SECURITY CONTROL

ASSESSMENT PROCEDURE
PS-4	PERSONNEL TERMINATION
PS-4.1	ASSESSMENT OBJECTIVE: Determine if: (i) the organization terminates information system access upon termination of individual employment; (ii) the organization conducts exit interviews of terminated personnel; (iii) the organization retrieves all security-related organizational information system-related property from terminated personnel; and (iv) the organization retains access to organizational information and information systems formerly controlled by terminated personnel. POTENTIAL ASSESSMENT METHODS AND OBJECTS: Examine: [SELECT FROM: Personnel security policy; procedures addressing personnel termination; records of personnel termination actions; list of information system accounts; other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with personnel security responsibilities].

PS-5 PERSONNEL TRANSFER

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FAMILY: PERSONNEL SECURITY

CLASS: OPERATIONAL

Security Control Baseline:

PS-5

Personnel Transfer

P2

LOW PS-5

MOD PS-5

HIGH PS-5

SECURITY CONTROL

ASSESSMENT PROCEDURE
PS-5	PERSONNEL TRANSFER
PS-5.1	ASSESSMENT OBJECTIVE: Determine if: (i) the organization reviews logical and physical access authorizations to information systems/facilities when personnel are reassigned or transferred to other positions within the organization; (ii) the organization defines the transfer or reassignment actions and the time period within which the actions must occur following formal transfer or reassignment; and (iii) the organization initiates the organization-defined transfer or reassignment actions within an organization-defined time period following formal transfer or reassignment. POTENTIAL ASSESSMENT METHODS AND OBJECTS: Examine: [SELECT FROM: Personnel security policy; procedures addressing personnel transfer; security plan; records of personnel transfer actions; list of information system and facility access authorizations; other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with personnel security responsibilities].

PS-6 ACCESS AGREEMENTS

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FAMILY: PERSONNEL SECURITY

CLASS: OPERATIONAL

Security Control Baseline:

PS-6

Access Agreements

P3

LOW PS-6

MOD PS-6

HIGH PS-6

SECURITY CONTROL

ASSESSMENT PROCEDURE
PS-6	ACCESS AGREEMENTS
PS-6.1	ASSESSMENT OBJECTIVE: Determine if: (i) the organization identifies appropriate access agreements for individuals requiring access to organizational information and information systems; (ii) individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access; (iii) the organization defines the frequency of reviews/updates for access agreements; and (iv) the organization reviews/updates the access agreements in accordance with the organization-defined frequency. POTENTIAL ASSESSMENT METHODS AND OBJECTS: Examine: [SELECT FROM: Personnel security policy; procedures addressing access agreements for organizational information and information systems; security plan; access agreements; records of access agreement reviews and updates; other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with personnel security responsibilities].

PS-7 THIRD-PARTY PERSONNEL SECURITY

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FAMILY: PERSONNEL SECURITY

CLASS: OPERATIONAL

Security Control Baseline:

PS-7

Third-Party Personnel Security

P1

LOW PS-7

MOD PS-7

HIGH PS-7

SECURITY CONTROL

ASSESSMENT PROCEDURE
PS-7	THIRD-PARTY PERSONNEL SECURITY
PS-7.1	ASSESSMENT OBJECTIVE: Determine if: (i) the organization establishes personnel security requirements, including security roles and responsibilities, for third-party providers (ii) the organization documents personnel security requirements for third-party providers; and (iii) the organization monitors third-party provider compliance with personnel security requirements. POTENTIAL ASSESSMENT METHODS AND OBJECTS: Examine: [SELECT FROM: Personnel security policy; procedures addressing third-party personnel security; list of personnel security requirements; acquisition documents; compliance monitoring process; other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with personnel security responsibilities; third-party providers].

PS-8 PERSONNEL SANCTIONS

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FAMILY: PERSONNEL SECURITY

CLASS: OPERATIONAL

Security Control Baseline:

PS-8

Personnel Sanctions

P3

LOW PS-8

MOD PS-8

HIGH PS-8

SECURITY CONTROL

ASSESSMENT PROCEDURE
PS-8	PERSONNEL SANCTIONS
PS-8.1	ASSESSMENT OBJECTIVE: Determine if the organization employs a formal sanctions process for personnel failing to comply with established information security policies and procedures. POTENTIAL ASSESSMENT METHODS AND OBJECTS: Examine: [SELECT FROM: Personnel security policy; procedures addressing personnel sanctions; rules of behavior; records of formal sanctions; other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with personnel security responsibilities].

Source

• NIST SP 800-53A Rev. 1 Guide for Assessing the Security Controls in Federal Information Systems and Organizations, Building Effective Security Assessment Plans (PDF)