NIST 800-53 stands for the National Institute of Standards and Technology Special Publication 800-53 Revision 4, which is titled “Security and Privacy Controls for Federal Information Systems and Organizations.” It is a publication from NIST that provides guidelines for implementing information security controls to meet federal government compliance requirements in the United States.
What is NIST 800-53?
NIST 800-53 is a catalog of security controls for federal information systems except those related to national security. The publication outlines a process for selecting and specifying security controls to meet specific organizational needs based on an assessment of risk. It aims to help federal agencies comply with the Federal Information Security Management Act (FISMA) and manage information system-related security risks.
The current version, Revision 4, was published in 2013 and updated the previous Revision 3 published in 2009. The controls outlined in NIST 800-53 are meant to be implemented as part of an overall risk management framework across an organization.
What types of controls are included in NIST 800-53?
NIST 800-53 defines security controls in 17 families across 3 classes:
Management Class
- Risk assessment
- Security assessment and authorization
- System and services acquisition
- Planning
- System and services acquisition
- Program management
- Personnel security
Operational Class
- Awareness and training
- Configuration management
- Contingency planning
- Incident response
- Maintenance
- Media protection
- Physical and environmental protection
Technical Class
- Access control
- Audit and accountability
- Identification and authentication
- System and communication protection
- System and information integrity
The controls cover a broad range of safeguards recommended for federal information systems including administrative, physical, technical and policy-based controls.
What are some key controls in NIST 800-53?
Some of the key controls included in NIST 800-53 are:
- Access Control – Controls for limiting information system access to authorized users
- Awareness & Training – Controls for security awareness training and role-based training for users with significant security responsibilities
- Audit & Accountability – Controls for auditing information system activity and holding users accountable for their actions
- Security Assessment & Authorization – Controls governing the formal assessment and approval/disapproval of information systems operation
- Configuration Management – Controls for baseline configuration of systems and maintaining configuration throughout the system lifecycle
- Contingency Planning – Controls related to recovering systems after a disruption or failure
- Identification & Authentication – Controls for identifying and authenticating users interacting with the system
- Incident Response – Controls governing incident response processes, reporting, and analysis
- Maintenance – Controls for maintenance of systems including remote maintenance activities
- Media Protection – Controls for secure handling, storage and destruction of system media
- Physical & Environmental Protection – Controls for physical access to systems and protection from environmental hazards
- System & Services Acquisition – Controls for incorporating security into new systems acquisitions and service acquisitions
What is the purpose of NIST 800-53?
NIST 800-53 serves several key purposes:
- Provides guidelines for selecting and specifying security controls for information systems in order to meet defined security requirements
- Provides a stable, yet flexible catalog of security controls for information systems
- Creates a foundation for the development of assessment methods and procedures for determining security control effectiveness
- Provides guidance for organizing and structuring information security programs
- Promotes closer cooperation between federal agencies for improving the effectiveness of controls for information systems
- Allows flexibility in applying the specific controls based on mission, threats, technology, and risk tolerance
In essence, it gives federal agencies a standardized set of information security controls that can be tailored to their specific operational environments and overall risk management strategy. The guidelines help agencies implement security programs that are compliant with FISMA regulations.
Who developed NIST 800-53?
NIST 800-53 was developed by the National Institute of Standards and Technology (NIST), a non-regulatory agency operating under the U.S. Department of Commerce. NIST has a mandate to develop standards and guidelines to help federal agencies implement the Federal Information Security Management Act (FISMA) and manage cost-effective programs to protect their information and systems.
The publication was developed by cybersecurity experts at NIST along with contributions from industry experts and feedback from both government and private sector organizations. It has undergone revisions over time to refine the catalog of security controls based on changing threats, new technologies, federal agency experiences, and industry practices.
How is NIST 800-53 utilized by federal agencies?
Federal agencies use NIST 800-53 in the following ways:
- Select a set of baseline security controls from NIST 800-53 based on their information system impact level (low, moderate, high)
- Supplement and tailor the baseline controls to mitigate risks identified during risk assessments
- Develop security plans documenting how controls are implemented or planned to be implemented
- Assess the effectiveness of the controls and determine risk to operations, assets, or individuals
- Authorize information system operation if controls are deemed adequate; if not, initiate remediation actions
- Monitor controls on an ongoing basis and update security plans, risk assessments, and authorizations as needed
Agencies integrate the security control selection, implementation, assessment, and monitoring process into their enterprise risk management methodology. The controls provide a baseline for the agency’s information security program in compliance with FISMA.
What is the relationship between NIST 800-53 and FISMA?
NIST 800-53 provides guidance to federal agencies on implementing the security requirements outlined in the Federal Information Security Management Act (FISMA). FISMA, enacted in 2002, requires each federal agency to develop an agency-wide information security program for the data and systems that support agency operations and assets.
The NIST 800-53 security control catalog gives agencies a standardized set of safeguards to select from when adopting security controls as part of their FISMA compliance efforts. The guidelines help agencies apply FISMA at the system level and determine the most cost-effective controls that mitigate risk while supporting business functions.
While FISMA defines a risk-based framework for information security at the federal level, NIST 800-53 provides recommended processes and controls enabling agencies to implement effective security programs that satisfy FISMA requirements.
How are minimum security control baselines determined?
NIST 800-53 defines minimum security control baselines corresponding to low, moderate, and high impact information systems. The baseline categorizations are based on the potential impact of a breach involving the loss of confidentiality, integrity, or availability of the information or system.
The process for determining minimum baseline controls is:
- Categorize the information system as low, moderate, or high impact using Federal Information Processing Standards (FIPS) 199.
- Select the corresponding baseline from NIST 800-53:
- Low Baseline – minimum security controls for low impact systems.
- Moderate Baseline – includes Low Baseline plus additional controls for moderate impact systems.
- High Baseline – includes Moderate Baseline plus additional controls for high impact systems.
- Tailor and supplement the baseline controls as needed to mitigate specific risks identified for the system.
The baselines provide a starting point of essential security controls corresponding with impact level. Agencies then build on the baselines by assessing risk and identifying threats that require additional controls beyond the minimum.
What are overlays in NIST 800-53?
Overlays in NIST 800-53 are alternative security control baselines aimed at specialized scenarios or situations that exist beyond the normal impact levels addressed in the base minimum baselines.
NIST 800-53 defines several overlays with additional or tailored controls, such as:
- Consumerization Overlay – Additional controls for infrastructure supporting bring your own device (BYOD) models
- Robustness Overlay – Enhanced control robustness for systems requiring greater resiliency
- Privacy Overlay – Additional controls for systems processing personally identifiable information (PII)
- Public Cloud Overlay – Alternative controls for public cloud-based systems
The overlays supplement the core control catalog with considerations for specialized circumstances that require a different set of base controls than defined in the standard low, moderate, high baselines.
How are security controls designated in NIST 800-53?
NIST 800-53 designates security controls using a standardized schema that includes a 3-letter family identifier, a 2-digit control number, and additional identifiers for control enhancements or supplemental guidance. Some examples:
- AC-2 – Account Management
- CM-7 (1) – Least Functionality – Periodic Review
- AU-4 (1) – Audit Storage Capacity | AU-4a – Transfer to Alternate Storage
In these examples:
- AC, CM, AU = Family identifier
- 2, 7, 4 = Control number
- (1) = Control enhancement identifier
- a = Supplemental guidance identifier
This designation scheme allows clear citation and reference to specific controls in NIST 800-53 documentation, security plans, and risk assessment reports when agencies catalog and baseline the controls.
What are some best practices for implementing NIST 800-53 security controls?
Best practices for implementing NIST 800-53 security controls include:
- Integrate implementation into System Development Life Cycle and project management processes
- Establish clear control ownership and responsibilities
- Develop SOPs/policies to institutionalize controls
- Validate controls through training, exercises, and security testing
- Automate control implementation where possible
- Provide role-based training on specific control requirements
- Maintain thorough documentation and evidence of control implementation
- Continuously monitor control effectiveness and assess against risk
- Report control status to senior management and system owners
- Implement proper change management as controls change
Treating the controls as a living program with ongoing processes, rather than as a static compliance checklist to complete, will help agencies achieve the risk management objectives of NIST 800-53.
Conclusion
NIST 800-53 provides federal agencies with a comprehensive catalog of information system security controls to safeguard government data and IT assets. By selecting baseline controls based on impact levels, tailoring them to mitigate identified risks, and continuously monitoring their effectiveness, agencies can implement flexible and robust security programs aligned with FISMA requirements.
NIST 800-53 serves as a fundamental resource for federal information security programs. Following NIST’s guidelines helps agencies apply best practices, build in security during system design phases, and adapt to evolving threats over time. The framework established fosters consistent but customized security control implementation government-wide.