NIST Maintenance Risk Controls (ma)

Policy and Procedures (ma-1)

Develop, document, and disseminate to organization-defined personnel or roles:

one or more,Organization-level,Mission/business process-level,System-level maintenance policy that:

Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;

Designate an organization-defined official to manage the development, documentation, and dissemination of the maintenance policy and procedures; and

Review and update the current maintenance:

Policy organization-defined frequency and following organization-defined events; and

Procedures organization-defined frequency and following organization-defined events.

Maintenance policy and procedures address the controls in the MA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of maintenance policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to maintenance policy and procedures assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

Controlled Maintenance (ma-2)

Schedule, document, and review records of maintenance, repair, and replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;

Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;

Require that organization-defined personnel or roles explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;

Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: organization-defined information;

Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and

Include the following information in organizational maintenance records: organization-defined information.

Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes the date and time of maintenance, a description of the maintenance performed, names of the individuals or group performing the maintenance, name of the escort, and system components or equipment that are removed or replaced. Organizations consider supply chain-related risks associated with replacement components for systems.

Maintenance Tools (ma-3)

Approve, control, and monitor the use of system maintenance tools; and

Review previously approved system maintenance tools organization-defined frequency.

Approving, controlling, monitoring, and reviewing maintenance tools address security-related issues associated with maintenance tools that are not within system authorization boundaries and are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for the approval of maintenance tools and how that approval is documented. A periodic review of maintenance tools facilitates the withdrawal of approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items and may be pre-installed, brought in with maintenance personnel on media, cloud-based, or downloaded from a website. Such tools can be vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support maintenance and are a part of the system (including the software implementing utilities such as "ping," "ls," "ipconfig," or the hardware and software implementing the monitoring port of an Ethernet switch) are not addressed by maintenance tools.

Nonlocal Maintenance (ma-4)

Approve and monitor nonlocal maintenance and diagnostic activities;

Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;

Employ strong authentication in the establishment of nonlocal maintenance and diagnostic sessions;

Maintain records for nonlocal maintenance and diagnostic activities; and

Terminate session and network connections when nonlocal maintenance is completed.

Nonlocal maintenance and diagnostic activities are conducted by individuals who communicate through either an external or internal network. Local maintenance and diagnostic activities are carried out by individuals who are physically present at the system location and not communicating across a network connection. Authentication techniques used to establish nonlocal maintenance and diagnostic sessions reflect the network access requirements in #ia-2(#ia-2). Strong authentication requires authenticators that are resistant to replay attacks and employ multi-factor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in #ma-4(#ma-4) is accomplished, in part, by other controls. [SP 800-63B](#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce) provides additional guidance on strong authentication and authenticators.

Maintenance Personnel (ma-5)

Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;

Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and

Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.

Maintenance personnel refers to individuals who perform hardware or software maintenance on organizational systems, while #pe-2(#pe-2) addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems, while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel?such as information technology manufacturers, vendors, systems integrators, and consultants?may require privileged access to organizational systems, such as when they are required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.

Timely Maintenance (ma-6)

Obtain maintenance support and/or spare parts for organization-defined system components within organization-defined time period of failure.

Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place.

Field Maintenance (ma-7)

Restrict or prohibit field maintenance on organization-defined systems or system components to organization-defined trusted maintenance facilities.

Field maintenance is the type of maintenance conducted on a system or system component after the system or component has been deployed to a specific site (i.e., operational environment). In certain instances, field maintenance (i.e., local maintenance at the site) may not be executed with the same degree of rigor or with the same quality control checks as depot maintenance. For critical systems designated as such by the organization, it may be necessary to restrict or prohibit field maintenance at the local site and require that such maintenance be conducted in trusted facilities with additional controls.

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