ARTIFACTS
RA: RISK ASSESSMENT
What's On This Page
Each control family has a page dedicated to presenting all of the artifacts associated with the controls and control enhancements in that family. This is a consolidated view of the artifacts organized in a way to make the information usable. From here you can navigate to the individual control pages where the artifacts associated with each control or control enhancement are displayed with the control. You can use the Links Panels to select the individual controls or control enhancements you want to work with.
Supplement the artifacts here with other relevent documents and records dictated by your risk-based cybersecurity program and your information supply chain requirements.
The Source of the Artifacts
The control information comes from NIST Special Publication 800-53R4, Security and Privacy Controls for Information Systems and Organizationsand Special Publication and NIST Special Publication 800-53AR4, Assessing Security and Privacy Controls in Federal Information Systems and Organizations Building Effective Assessment Plans. We've normalized the artifact names and annotated them with information useful in understanding these artifacts in the context of your digital enterprise, information supply chain, and security architecture.
Essential Artifacts for Risk-Based Cybersecurity Programs
This section includes core documents for risk-based cybersecurity; the POLICY & PROCEDURES document for Risk Assessment (RA); and documents that are widely used in the assessment of controls and control enhancements in the Risk Assessment (RA) family. Policy and Procedure documents from control families are in CAPS and identified with their two letter code.
| CORE ARTIFACTS |
| WIDELY USED ARTIFACTS FOR RISK ASSESSMENT |
| RISK ASSESSMENT POLICY & PROCEDURES (RA) |
| Risk Assessment policy |
| Information system design documentation |
| Information system configuration settings and associated documentation |
| Information system audit records |
Security Authorization Package Documents:
|
| ESSENTIALS |
| ACCESS CONTROL POLICY & PROCEDURES (AC) |
| Asset Inventory |
| AUDIT & ACCOUNTABILITY POLICY & PROCEDURES (AU) | Configuration Management Plan |
| CONFIGURATION MANAGEMENT POLICY & PROCEDURES (CM) |
Contingency Plan
|
| CONTINGENCY PLANNING POLICY & PROCEDURES (CP) |
| Continuous Monitoring Strategy |
| Continuous Monitoring Plan |
| Enterprise Architecture (EA) |
| IDENTIFICATION & AUTHENTICATION POLICY & PROCEDURES (IA) |
| INCIDENT RESPONSE POLICY & PROCEDURES (IR) |
| INFORMATION SECURITY PROGRAM PLAN (PM) |
| MEDIA PROTECTION POLICY & PROCEDURES (MP) |
| PERSONNEL SECURITY POLICY & PROCEDURES (PS) |
| PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY & PROCEDURES (PE) |
| Privacy Impact Assessment |
| Privacy Program Plan |
| Risk Assessment |
| RISK ASSESSMENT POLICY & PROCEDURES (RA) |
| SECURITY ASSESSMENT & AUTHORIZATION POLICY & PROCEDURES (CA) |
| SECURITY AWARENESS AND TRAINING POLICY & PROCEDURES (AT) |
| Security Configurations |
| SECURITY PLANNING POLICY & PROCEDURES (PL) |
| SYSTEM AND COMMUNICATIONS PROTECTION POLICY & PROCEDURES (SC) |
| SYSTEM AND INFORMATION INTEGRITY POLICY & PROCEDURES (SI) |
| SYSTEM AND SERVICES ACQUISITION POLICY & PROCEDURES (SA) |
| System Interconnection Agreements |
| SYSTEM MAINTENANCE POLICY & PROCEDURES (MA) |
Policy & Procedures
Here you'll find a catalog of Risk Assessment (RA) related policies and procedures for managing access to your digital enterprise and information supply chain. Select those that enable your risk-based cybersecurity program.
| POLICES & PROCEDURES | APPLICABLE CONTROL(S) |
| Procedures addressing organizational assessments of risk | RA-3 |
| Procedures addressing security categorization of organizational information and information systems | RA-2 |
| Procedures addressing technical surveillance countermeasures surveys | RA-6 |
| Procedures addressing vulnerability scanning | RA-5 RA-5 (1) RA-5 (2) RA-5 (3) RA-5 (4) RA-5 (6) RA-5 (8) RA-5 (10) |
| Risk assessment policy | RA-2 RA-3 RA-5 RA-5 (5) RA-5 (6) RA-5 (8) RA-5 (10) |
| Risk assessment policy | RA-6 |
| Risk assessment POLICY & PROCEDURES | RA-1 |
| Security planning POLICY & PROCEDURES | RA-2 RA-3 |
Evidence, Records & Artifacts
Here you'll find a catalog of Risk Assessment (RA) related policies and procedures for managing access to your digital enterprise and information supply chain. Select those that enable your risk-based cybersecurity program.
| ARTIFACT | APPLICABLE CONTROL(S) |
| Access authorization records | RA-5 (5) |
| Audit logs | RA-5 (8) |
| Audit records | RA-5 (4) < br> RA-5 (10) |
| Audit records/event logs | RA-6 |
| Authorization credentials | RA-5 (5) |
| Event/vulnerability correlation logs | RA-5 (10) |
| Incident response records | RA-5 (4) |
| Information system configuration settings and associated documentation | RA-5 (5) |
| Information system design documentation | RA-5 (5) RA-5 (6) |
| Patch and vulnerability management records | RA-5 RA-5 (1) RA-5 (2) RA-5 (3) RA-5 (8) |
| Penetration test results | RA-5 (4) |
| Records of audit log reviews | RA-5 (8) |
| Records of corrective actions taken | RA-5 (4) |
| Risk assessment | RA-5 (10) |
| Risk assessment report | RA-5 (4) |
| Risk assessment results | RA-3 |
| Risk assessment reviews | RA-3 |
| Risk assessment updates | RA-3 |
| Security assessment report | RA-5 RA-5 (1) RA-5 (2) RA-5 (3) RA-5 (4) |
| Security categorization documentation | RA-2 |
| Vulnerability management records | RA-5 (10) |
| Vulnerability scanning results | RA-5 RA-5 (1) RA-5 (2) RA-5 (3) RA-5 (4) RA-5 (6) RA-5 (8) RA-5 (10) |
| Vulnerability scanning tools and associated configuration documentation | RA-5 RA-5 (1) RA-5 (2) RA-5 (3) |
| Vulnerability scanning tools and techniques documentation | RA-5 (6) RA-5 (10) |
Risk Assessment Related Lists
These are the Risk Assessment (RA) related lists you may need to support your security program. For the lists applicable to your systems and informations supply chain you should know the source of the list and the data it contains; how the lists are generated, where they are stored, and how they are maintained, and how to get the when you have an incident, an incident investigation or an audit.
| LIST | APPLICABLE CONTROL(S) |
| List of information system components for vulnerability scanning | RA-5 (5) |
| Personnel access authorization list | RA-5 (5) |