Understanding the Certification and Accreditation Process

1. Understanding the Certification and Accreditation Process Marianne Swanson Computer Security Division National Institute of Standards and Technology

2. Topics • Background • Approach • Process • Timetable for document

3. Research Phase • Review FIPS 102 • Review NIST SP 800-12 and 800-18 • Review NIACAP (DITSCAP) • Agency Practices • IATF Meeting (January 2001)

4. NIST Approach on New Document • FIPS 102 update will be a NIST Special Publication • Small working group guiding document development • Use the best of all current C&A documents

5. Roles & Responsibilities • Program Manager • Accrediting Official • System Security Officer • Certifier/Reviewer • User Representative

6. C&A Program Structure • Centralized • All certification resources at the headquarters level • Accrediting Officials throughout organization • Advantages: • Better visibility and influence • Uniformity • Efficiency and economy of scale

7. C&A Program Structure - 1 • Disadvantages: • Reduced awareness by Program Managers of certification requirements in the SDLC • Backlog of certification support

8. C&A Program Structure - 2 • De-Centralized • Resources are located within each organization • Accrediting Officials throughout organization • Advantages: • Quicker response to support requests • Better awareness of C&A requirements

9. C&A Program Structure - 3 • Disadvantages: • Lower organizational visibility • Reduced uniformity • Loss of economics of scale

10. C&A Program Structure – 4 • Hybrid • Variation of Centralized and De-Centralized • Small CIO team with in-depth knowledge • Each organization performs their own certification • Compliance function at headquarters

11. Accreditation Process • Pre-accreditation • Accreditation • Post accreditation

12. Three Certification Levels • Basic Certification • Low risk and sensitivity • Completion of self-assessment • Qualified in-house staff or external evaluators • Extended Certification • Higher degree of assurance – most mission critical systems • Test effectiveness of security controls • Detailed analysis

13. Three Certification Levels - 1 • Advanced Certification • Highest degree of assurance – critical infrastructure • Comprehensive analysis of system level information • Independent evaluation of all security controls • All interfaces with other systems identified & evaluated

14. Information Gathering - Preparation • Identify key individuals • Determine certification level – sensitivity/risk assessment • Determine type of certification – system/site/type • Obtain documentation on the system

15. Security Plan Risk Assessment Contingency Plan System Specifications Architecture and Design User Manuals Operating Procedures Network Diagrams Configuration Mgmt. Documentation

16. Perform Certification Review • Review security plan • Perform security review • Self assessments • Independent audits • Penetration testing

17. Perform Certification Review- continued • Security test and evaluation • System security infrastructure • Physical, personnel and procedural security controls • Site evaluations • NIAP Evaluated products • Contingency plan review and test • Review risk assessment

18. Summarize Activities and Results • Major findings • Mitigations • Compilation of all documents

19. Three Choices • Accredit the system • Conditional accreditation • Do not accredit the system

20. Post Accreditation • Review and maintain C&A documents • Conduct periodic security reviews • Re-accreditation

21. Timetable • March 2002 - Annotated Outline • June 2002 - First Draft • August 2002 – Workshop (if needed) • September 2002 - Final Document • Follow-on projects ? • best practices • training • NIAP evaluated C&A laboratories/auditors

22. URL’s for Documents • FIPS 102, NIST SP 800-12 and 800-18http://csrc.nist.gov • NIACAPhttp://www.nstissc.gov/html/library.html

23. Contact Information • Marianne Swansonmarianne.swanson@nist.gov301-975-3293