03.01.02: Transaction & Function Control

Security Requirements for 03.01.02 Transaction & Function Control

Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. System account types include individual, shared, group, system, anonymous, guest, emergency, developer, manufacturer, vendor, and temporary. Other attributes required for authorizing access include restrictions on time-of-day, day-of-week, and point-oforigin. In defining other account attributes, organizations consider system-related requirements (e.g., system upgrades scheduled maintenance,) and mission or business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements).

Assessment GuidanceExamine 0/8

How an assessor determines this requirement is met. Source: CMMC Assessment Guide – Level 2, Version 2.13 (NIST SP 800-171 Rev. 2).

Discussion

Limit users to only the information systems, roles, or applications they are permitted to use and are needed for their roles and responsibilities. Limit access to applications and data based on the authorized users’ roles and responsibilities. Common types of functions a user can be assigned are create, read, update, and delete.

Examples

Example 1
Your team manages DoD contracts for your company. Members of your team need to access the contract information to perform their work properly. Because some of that data contains CUI, you work with IT to set up your group’s systems so that users can be assigned access based on their specific roles [a]. Each role limits whether an employee has read-access or create/read/delete/update -access [b]. Implementing this access control restricts access to CUI information unless specifically authorized.

Assessment Methods

Examine

The process of reviewing, inspecting, observing, studying, or analyzing assessment objects (e.g., policies, procedures, plans, system designs, mechanisms) to facilitate understanding, achieve clarification, or obtain evidence.Example: An assessor reads the access control policy and inspects system configuration settings to confirm they match.

Not all of the evidence listed is required to meet this requirement — check the items your organization has collected.

Access control policy
Procedures addressing access enforcement
System security plan
System design documentation
List of approved authorizations including remote access authorizations
System audit logs and records
System configuration settings and associated documentation
Other relevant documents or records

Interview

The process of holding discussions with individuals or groups within an organization to facilitate understanding, achieve clarification, or identify the location of evidence.Example: An assessor asks a system administrator to describe how user accounts are approved, reviewed, and disabled.

Personnel with access enforcement responsibilities
System or network administrators
Personnel with information security responsibilities
System developers

Test

The process of exercising assessment objects (e.g., activities, mechanisms) under specified conditions to compare actual behavior with expected behavior.Example: An assessor attempts to sign in with a disabled account to confirm that access is denied.

Mechanisms implementing access control policy

Potential Assessment Considerations

Are access control lists used to limit access to applications and data based on role and/or identity [a]?
Is access for authorized users restricted to those parts of the system they are explicitly permitted to use (e.g., a person who only performs word-processing cannot access developer tools) [b]?

Key References

NIST SP 800-171 Rev. 2 3.1.2FAR Clause 52.204-21 b.1.ii

Overview