CA-07 Continuous Monitoring
Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:
a. Establishing the following system-level metrics to be monitored: ca-07_odp.01;
b. Establishing ca-07_odp.02 for monitoring and ca-07_odp.03 for assessment of control effectiveness;
c. Ongoing control assessments in accordance with the continuous monitoring strategy;
d. Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;
e. Correlation and analysis of information generated by control assessments and monitoring;
f. Response actions to address results of the analysis of control assessment and monitoring information; and
g. Reporting the security and privacy status of the system to ca-7_prm_4 ca-7_prm_5.
| Parameter ID | Definition |
|---|---|
| ca-7_prm_4 | organization-defined personnel or roles |
| ca-7_prm_5 | organization-defined frequency |
| ca-07_odp.01 | system-level metrics |
| ca-07_odp.02 | frequencies |
| ca-07_odp.03 | frequencies |
| ca-07_odp.04 | personnel or roles |
| ca-07_odp.05 | frequency |
| ca-07_odp.06 | personnel or roles |
| ca-07_odp.07 | frequency |
Baselines
- L
- M
- H
- P
Guidance
Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms "continuous" and "ongoing" imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions.
Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, such as [AC-2g](#ac-2_smt.g), AC-2(7), [AC-2(12)(a)](#ac-2.12_smt.a), [AC-2(7)(b)](#ac-2.7_smt.b), [AC-2(7)(c)](#ac-2.7_smt.c), AC-17(1), [AT-4a](#at-4_smt.a), AU-13, AU-13(1), AU-13(2), [CM-3f](#cm-3_smt.f), [CM-6d](#cm-6_smt.d), [CM-11c](#cm-11_smt.c), IR-5, [MA-2b](#ma-2_smt.b), [MA-3a](#ma-3_smt.a), [MA-4a](#ma-4_smt.a), [PE-3d](#pe-3_smt.d), PE-6, [PE-14b](#pe-14_smt.b), PE-16, PE-20, PM-6, PM-23, PM-31, [PS-7e](#ps-7_smt.e), [SA-9c](#sa-9_smt.c), SR-4, [SC-5(3)(b)](#sc-5.3_smt.b), [SC-7a](#sc-7_smt.a), [SC-7(24)(b)](#sc-7.24_smt.b), [SC-18b](#sc-18_smt.b), [SC-43b](#sc-43_smt.b) , and SI-4.
References 8
- OMB A-130 Office of Management and Budget Memorandum Circular A-130, *Managing Information as a Strategic Resource* , July 2016.
- SP 800-37 Joint Task Force (2018) Risk Management Framework for Information Systems and Organizations: A System Life Cycle Approach for Security and Privacy. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-37, Rev. 2.
- SP 800-39 Joint Task Force Transformation Initiative (2011) Managing Information Security Risk: Organization, Mission, and Information System View. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-39.
- SP 800-53A Joint Task Force Transformation Initiative (2014) Assessing Security and Privacy Controls in Federal Information Systems and Organizations: Building Effective Assessment Plans. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-53A, Rev. 4, Includes updates as of December 18, 2014.
- SP 800-115 Scarfone KA, Souppaya MP, Cody A, Orebaugh AD (2008) Technical Guide to Information Security Testing and Assessment. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-115.
- SP 800-137 Dempsey KL, Chawla NS, Johnson LA, Johnston R, Jones AC, Orebaugh AD, Scholl MA, Stine KM (2011) Information Security Continuous Monitoring (ISCM) for Federal Information Systems and Organizations. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Special Publication (SP) 800-137.
- IR 8011-1 Dempsey KL, Eavy P, Moore G (2017) Automation Support for Security Control Assessments: Volume 1: Overview. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8011, Volume 1.
- IR 8062 Brooks S, Garcia M, Lefkovitz N, Lightman S, Nadeau E (2017) An Introduction to Privacy Engineering and Risk Management in Federal Systems. (National Institute of Standards and Technology, Gaithersburg, MD), NIST Interagency or Internal Report (IR) 8062.
Control Enhancements 6
- CA-07(01) Independent Assessment L M H P
- CA-07(02) Types of Assessments
- CA-07(03) Trend Analyses L M H P
- CA-07(04) Risk Monitoring L M H P
- CA-07(05) Consistency Analysis L M H P
- CA-07(06) Automation Support for Monitoring L M H P
Related controls 51
- AC-02 Account Management L M H P
- AC-06 Least Privilege L M H P
- AC-17 Remote Access L M H P
- AT-04 Training Records L M H P
- AU-06 Audit Record Review, Analysis, and Reporting L M H P
- AU-13 Monitoring for Information Disclosure L M H P
- CA-02 Control Assessments L M H P
- CA-05 Plan of Action and Milestones L M H P
- CA-06 Authorization L M H P
- CM-03 Configuration Change Control L M H P
- CM-04 Impact Analyses L M H P
- CM-06 Configuration Settings L M H P
- CM-11 User-installed Software L M H P
- IA-05 Authenticator Management L M H P
- IR-05 Incident Monitoring L M H P
- MA-02 Controlled Maintenance L M H P
- MA-03 Maintenance Tools L M H P
- MA-04 Nonlocal Maintenance L M H P
- PE-03 Physical Access Control L M H P
- PE-06 Monitoring Physical Access L M H P
- PE-14 Environmental Controls L M H P
- PE-16 Delivery and Removal L M H P
- PE-20 Asset Monitoring and Tracking L M H P
- PL-02 System Security and Privacy Plans L M H P
- PM-04 Plan of Action and Milestones Process L M H P
- PM-06 Measures of Performance L M H P
- PM-09 Risk Management Strategy L M H P
- PM-10 Authorization Process L M H P
- PM-12 Insider Threat Program L M H P
- PM-14 Testing, Training, and Monitoring L M H P
- PM-23 Data Governance Body L M H P
- PM-28 Risk Framing L M H P
- PM-31 Continuous Monitoring Strategy L M H P
- PS-07 External Personnel Security L M H P
- PT-07 Specific Categories of Personally Identifiable Information L M H P
- RA-03 Risk Assessment L M H P
- RA-05 Vulnerability Monitoring and Scanning L M H P
- RA-07 Risk Response L M H P
- RA-10 Threat Hunting L M H P
- SA-08 Security and Privacy Engineering Principles L M H P
- SA-09 External System Services L M H P
- SA-11 Developer Testing and Evaluation L M H P
- SC-05 Denial-of-service Protection L M H P
- SC-07 Boundary Protection L M H P
- SC-18 Mobile Code L M H P
- SC-38 Operations Security L M H P
- SC-43 Usage Restrictions L M H P
- SI-03 Malicious Code Protection L M H P
- SI-04 System Monitoring L M H P
- SI-12 Information Management and Retention L M H P
- SR-06 Supplier Assessments and Reviews L M H P