CA-04 Security Certification
Control: The organization conducts an assessment of the security controls in the information system to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system.
Supplemental Guidance: A security certification is conducted by the organization in support of the OMB Circular A-130, Appendix III requirement for accrediting the information system. The security certification is a key factor in all security accreditation (i.e., authorization) decisions and is integrated into and spans the system development life cycle. The organization assesses all security controls in an information system during the initial security accreditation. Subsequent to the initial accreditation and in accordance with OMB policy, the organization assesses a subset of the controls annually during continuous monitoring (see CA-7). The organization can use the current year’s assessment results obtained during security certification to meet the annual FISMA assessment requirement (see CA-2). NIST Special Publication 800-53A provides guidance on security control assessments. NIST Special Publication 800-37 provides guidance on security certification and accreditation. Related security controls: CA-2, CA-6, SA-11.
Control Enhancements: (1) The organization employs an independent certification agent or certification team to conduct an assessment of the security controls in the information system. Enhancement Supplemental Guidance: An independent certification agent or certification team is any individual or group capable of conducting an impartial assessment of an organizational information system. Impartiality implies that the assessors are free from any perceived or actual conflicts of interest with respect to the developmental, operational, and/or management chain of command associated with the information system or to the determination of security control effectiveness. Independent security certification services can be obtained from other elements within the organization or can be contracted to a public or private sector entity outside of the organization. Contracted certification services are considered independent if the information system owner is not directly involved in the contracting process or cannot unduly influence the independence of the certification agent or certification team conducting the assessment of the security controls in the information system. The authorizing official decides on the required level of certifier independence based on the criticality and sensitivity of the information system and the ultimate risk to organizational operations and organizational assets, and to individuals. The authorizing official determines if the level of certifier independence is sufficient to provide confidence that the assessment results produced are sound and can be used to make a credible, risk-based decision. In special situations, for example when the organization that owns the information system is small or the organizational structure requires that the assessment of the security controls be accomplished by individuals that are in the developmental, operational, and/or management chain of the system owner or authorizing official, independence in the certification process can be achieved by ensuring the assessment results are carefully reviewed and analyzed by an independent team of experts to validate the completeness, consistency, and veracity of the results. The authorizing official should consult with the Office of the Inspector General, the senior agency information security officer, and the chief information officer to fully discuss the implications of any decisions on certifier independence in the types of special circumstances described above.
Baseline: LOW CA-4 MOD CA-4 (1) HIGH CA-4 (1)
Family: Certification, Accreditation, And Security Assessments
ISO 17799 mapping: 10.3.2
COBIT 4.1 mapping: AI7.7
PCI-DSS v2 mapping: 11.3