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ASSESSMENT CASES - DOwnload page
(consistent with SP 800-53A revision 1 dated june 2010)
Key to Download Case Assessment Files:
There is a Microsoft (MS) Word file for each assessment case, and an assessment case for each security control identified below. For example, file name: SP-800-53A-R1_ Assessment Case _ AC-02_ipd.docx is the Word file for assessment case for the Access Control family security control AC-2, which is named Account Management.
To make it easier to download these assessment cases, we created 19 separate zip files. There is a zip MS Word file for each security control family. All assessment case files for a particular family (e.g., Access Control, Maintenance, etc.) are within one zip file. For example, for the Access Control family, there are 22 MS Word documents inside the zip file, for the 22 separate assessment cases that are included in Access Control family. There are 18 separate families for these assessment cases. The tables below should help you figure out what family you need to download and/or what files to open within that particular family. The 19th zip file contains ALL of the assessment case files for all 18 families, which are separately zipped up in one zipped file.
Download All 18 families (Word format) in 1 .zip file (6.1 MB)
Note: After downloading the complete set of 18 families in one zipped file, once the file is unzipped, then you will find each family in its own separate zipped file - 18 zipped files total. Once a particular family zipped file is unzipped, then you will find multiple MS Word files - one for each Control Name for that particular family. Refer to tables below for guidance for titles of each control name.
ACCESS CONTROL
| CONTROL NUMBER |
CONTROL NAME |
| AC-1 | Access Control Policy and Procedures |
| AC-2 | Account Management |
| AC-3 | Access Enforcement |
| AC-4 | Information Flow Enforcement |
| AC-5 | Separation of Duties |
| AC-6 | Least Privilege |
| AC-7 | Unsuccessful Login Attempts |
| AC-8 | System Use Notification |
| AC-9 | Previous Logon (Access) Notification |
| AC-10 | Concurrent Session Control |
| AC-11 | Session Lock |
| AC-12 | Session Termination |
| AC-13 | Supervision and Review—Access Control |
| AC-14 | Permitted Actions without Identification or Authentication |
| AC-15 | Automated Marking |
| AC-16 | Security Attributes |
| AC-17 | Remote Access |
| AC-18 | Wireless Access |
| AC-19 | Access Control for Mobile Devices |
| AC-20 | Use of External Information Systems |
| AC-21 | User-Based Collaboration And Information Sharing |
| AC-22 | Publicly Accessible Content |
Download the 22 Access Control Assessment Cases
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AWARENESS AND TRAINING
| CONTROL NUMBER |
CONTROL NAME |
| AT-1 | Security Awareness and Training Policy and Procedures |
| AT-2 | Security Awareness |
| AT-3 | Security Training |
| AT-4 | Security Training Records |
| AT-5 | Contacts with Security Groups and Associations |
Download the 5 Awareness and Training Assessment Cases
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AUDIT AND ACCOUNTABILITY
| CONTROL NUMBER |
CONTROL NAME |
| AU-1 | Audit and Accountability Policy and Procedures |
| AU-2 | Auditable Events |
| AU-3 | Content of Audit Records |
| AU-4 | Audit Storage Capacity |
| AU-5 | Response to Audit Processing Failures |
| AU-6 | Audit Review, Analysis, and Reporting |
| AU-7 | Audit Reduction and Report Generation |
| AU-8 | Time Stamps |
| AU-9 | Protection of Audit Information |
| AU-10 | Non-repudiation |
| AU-11 | Audit Record Retention |
| AU-12 | Audit Generation |
| AU-13 | Monitoring and Disclosure |
| AU-14 | Session Audit |
Download the 14 Audit and Accountability Assessment Cases
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CERTIFICATION, ACCREDITATION AND SECURITY ASSESSMENTS
| CONTROL NUMBER |
CONTROL NAME |
| CA-1 | Security Assessment and Authorization Policies and Procedures |
| CA-2 | Security Assessments |
| CA-3 | Information System Connections |
| CA-4 | Security Certification |
| CA-5 | Plan of Action and Milestones |
| CA-6 | Security Authorization |
| CA-7 | Continuous Monitoring |
Download the 7 Certification, Accreditation and Security Assessment Cases
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CONFIGURATION MANAGEMENT
| CONTROL NUMBER |
CONTROL NAME |
| CM-1 | Configuration Management Policy and Procedures |
| CM-2 | Baseline Configuration |
| CM-3 | Configuration Change Control |
| CM-4 | Security Impact Analysis |
| CM-5 | Access Restrictions for Change |
| CM-6 | Configuration Settings |
| CM-7 | Least Functionality |
| CM-8 | Information System Component Inventory |
| CM-9 | Configuration Management Plan |
Download the 9 Configuration Management Assessment Cases
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CONTINGENCY PLANNING
| CONTROL NUMBER |
CONTROL NAME |
| CP-1 | Contingency Planning Policy and Procedures |
| CP-2 | Contingency Plan |
| CP-3 | Contingency Training |
| CP-4 | Contingency Plan Testing and Exercises |
| CP-5 | Contingency Plan Update |
| CP-6 | Alternate Storage Site |
| CP-7 | Alternate Processing Site |
| CP-8 | Telecommunications Services |
| CP-9 | Information System Backup |
| CP-10 | Information System Recovery and Reconstitution |
Download the 10 Contingency Planning Assessment Cases
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IDENTIFICATION AND AUTHENTICATION
| CONTROL NUMBER |
CONTROL NAME |
| IA-1 | Identification and Authentication Policy and Procedures |
| IA-2 | User Identification and Authentication (Organizational Users) |
| IA-3 | Device Identification and Authentication |
| IA-4 | Identifier Management |
| IA-5 | Authenticator Management |
| IA-6 | Authenticator Feedback |
| IA-7 | Cryptographic Module Authentication |
| IA-8 | Identification and Authentication (Non-Organizational Users) |
Download the 8 Identification and Authentication Assessment Cases
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INCIDENT RESPONSE
| CONTROL NUMBER |
CONTROL NAME |
| IR-1 | Incident Response Policy and Procedures |
| IR-2 | Incident Response Training |
| IR-3 | Incident Response Testing and Exercises |
| IR-4 | Incident Handling |
| IR-5 | Incident Monitoring |
| IR-6 | Incident Reporting |
| IR-7 | Incident Response Assistance |
| IR-8 | Incident Response Plan |
Download the 8 Incident Response Assessment Cases
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MAINTENANCE
| CONTROL NUMBER |
CONTROL NAME |
| MA-1 | System Maintenance Policy and Procedures |
| MA-2 | Controlled Maintenance |
| MA-3 | Maintenance Tools |
| MA-4 | Non-Local Maintenance |
| MA-5 | Maintenance Personnel |
| MA-6 | Timely Maintenance |
Download the 6 Maintenance Assessment Cases
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MEDIA PROTECTION
| CONTROL NUMBER |
CONTROL NAME |
| MP-1 | Media Protection Policy and Procedures |
| MP-2 | Media Access |
| MP-3 | Media Marking |
| MP-4 | Media Storage |
| MP-5 | Media Transport |
| MP-6 | Media Sanitization |
Download the 6 Media Protection Assessment Cases
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PHYSICAL AND ENVIRONMENTAL PROTECTION
| CONTROL NUMBER |
CONTROL NAME |
| PE-1 | Physical and Environmental Protection Policy and Procedures |
| PE-2 | Physical Access Authorizations |
| PE-3 | Physical Access Control |
| PE-4 | Access Control for Transmission Medium |
| PE-5 | Access Control for Output Devices |
| PE-6 | Monitoring Physical Access |
| PE-7 | Visitor Control |
| PE-8 | Access Records |
| PE-9 | Power Equipment and Power Cabling |
| PE-10 | Emergency Shutoff |
| PE-11 | Emergency Power |
| PE-12 | Emergency Lighting |
| PE-13 | Fire Protection |
| PE-14 | Temperature and Humidity Controls |
| PE-15 | Water Damage Protection |
| PE-16 | Delivery and Removal |
| PE-17 | Alternate Work Site |
| PE-18 | Location of Information System Components |
| PE-19 | Information Leakage |
Download the 19 Physical and Environmental Protection Assessment Cases
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PLANNING
| CONTROL NUMBER |
CONTROL NAME |
| PL-1 | Security Planning Policy and Procedures |
| PL-2 | System Security Plan |
| PL-3 | System Security Plan Update |
| PL-4 | Rules of Behavior |
| PL-5 | Privacy Impact Assessment |
| PL-6 | Security-Related Activity Planning |
Download the 6 Planning Assessment Cases
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PROGRAM MANAGEMENT
| CONTROL NUMBER |
CONTROL NAME |
| PM-1 | Information Security Program Plan |
| PM-2 | Senior Information Security Officer |
| PM-3 | Information Security Resources |
| PM-4 | Plan of Action and Milestones Process |
| PM-5 | Information System Inventory |
| PM-6 | Information Security Measures of Performance |
| PM-7 | Enterprise Architecture |
| PM-8 | Critical Infrastructure Plan |
| PM-9 | Risk Management Strategy |
| PM-10 | Security Authorization Process |
| PM-11 | Mission/Business Process Definition |
Download the 11 Program Management Assessment Cases
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PERSONNEL SECURITY
| CONTROL NUMBER |
CONTROL NAME |
| PS-1 | Personnel Security Policy and Procedures |
| PS-2 | Position Categorization |
| PS-3 | Personnel Screening |
| PS-4 | Personnel Termination |
| PS-5 | Personnel Transfer |
| PS-6 | Access Agreements |
| PS-7 | Third-Party Personnel Security |
| PS-8 | Personnel Sanctions |
Download the 8 Personnel Security Assessment Cases
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RISK ASSESSMENT
| CONTROL NUMBER |
CONTROL NAME |
| RA-1 | Risk Assessment Policy and Procedures |
| RA-2 | Security Categorization |
| RA-3 | Risk Assessment |
| RA-4 | Risk Assessment Update |
| RA-5 | Vulnerability Scanning |
Download the 5 Risk Assessment Cases
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SYSTEM AND SERVICES ACQUISITION
| CONTROL NUMBER |
CONTROL NAME |
| SA-1 | System and Services Acquisition Policy and Procedures |
| SA-2 | Allocation of Resources |
| SA-3 | Life Cycle Support |
| SA-4 | Acquisitions |
| SA-5 | Information System Documentation |
| SA-6 | Software Usage Restrictions |
| SA-7 | User-Installed Software |
| SA-8 | Security Engineering Principles |
| SA-9 | External Information System Services |
| SA-10 | Developer Configuration Management |
| SA-11 | Developer Security Testing |
| SA-12 | Supply Chain Protection |
| SA-13 | Trustworthiness |
| SA-14 | Critical Information System Components |
Download the 14 System and Services Acquisition Assessment Cases
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SYSTEM AND COMMUNICATIONS PROTECTION
| CONTROL NUMBER |
CONTROL NAME |
| SC-1 | System and Communications Protection Policy and Procedures |
| SC-2 | Application Partitioning |
| SC-3 | Security Function Isolation |
| SC-4 | Information In Shared Resources |
| SC-5 | Denial of Service Protection |
| SC-6 | Resource Priority |
| SC-7 | Boundary Protection |
| SC-8 | Transmission Integrity |
| SC-9 | Transmission Confidentiality |
| SC-10 | Network Disconnect |
| SC-11 | Trusted Path |
| SC-12 | Cryptographic Key Establishment and Management |
| SC-13 | Use of Cryptography |
| SC-14 | Public Access Protections |
| SC-15 | Collaborative Computing Devices |
| SC-16 | Transmission of Security Attributes |
| SC-17 | Public Key Infrastructure Certificates |
| SC-18 | Mobile Code |
| SC-19 | Voice Over Internet Protocol |
| SC-20 | Secure Name /Address Resolution Service (Authoritative Source) |
| SC-21 | Secure Name /Address Resolution Service (Recursive or Caching Resolver) |
| SC-22 | Architecture and Provisioning for Name/Address Resolution Service |
| SC-23 | Session Authenticity |
| SC-24 | Fail in Known State |
| SC-25 | Thin Nodes |
| SC-26 | Honeypots |
| SC-27 | Operating System-Independent Applications |
| SC-28 | Protection of Information at Rest |
| SC-29 | Heterogeneity |
| SC-30 | Virtualization Techniques |
| SC-31 | Covert Channel Analysis |
| SC-32 | Information System Partitioning |
| SC-33 | Transmission Preparation Integrity |
| SC-34 | Non-Modifiable Executable Programs |
Download the 34 System and Communications Protection Assessment Cases
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SYSTEM AND INFORMATION INTEGRITY
| CONTROL NUMBER |
CONTROL NAME |
| SI-1 | System and Information Integrity Policy and Procedures |
| SI-2 | Flaw Remediation |
| SI-3 | Malicious Code Protection |
| SI-4 | Information System Monitoring |
| SI-5 | Security Alerts, Advisories and Directives |
| SI-6 | Security Functionality Verification |
| SI-7 | Software and Information Integrity |
| SI-8 | Spam Protection |
| SI-9 | Information Input Restrictions |
| SI-10 | Information Input Validation |
| SI-11 | Error Handling |
| SI-12 | Information Output Handling and Retention |
| SI-13 | Predictable Failure Prevention |
Download the 13 System and Information Integrity Assessment Cases
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