NIST Special Publication 800-171 Revision 2

Date Published: January 28th, 2021

Withdrawn on May 14, 2024. Superseded by SP 800-171 Rev. 3

Author(s): Ron Ross (NIST), Victoria Pillitteri (NIST), Kelley Dempsey (NIST), Mark Riddle (NARA), Gary Guissanie (IDA)

Note: A Class Deviation is in effect as of May 2, 2024 (DEVIATION 2024O0013). The deviation clause requires contractors, who are subject to 252.204-7012, to comply with National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171 Revision 2, instead of the version of NIST SP 800-171 in effect at the time the solicitation is issued or as authorized by the contracting officer. Click Here

3.7.2 Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance.

Control Family: Maintenance

Control Type: Basic

SPRS Value: 5

SPRS Supplemental Guidance: N/A

CMMC Level(s): MA.L2-3.7.2

Top Ten Failed Requirement: No

Referenced in:

DFARS 252.204-7012

Derived From: NIST SP 800-53r4

  • MA-2

  • MA-3

  • MA-3(1)

  • MA-3(2)

NIST Supplemental Guidance:

N/A

Discussion:

This requirement addresses security-related issues with maintenance tools that are not within the organizational system boundaries that process, store, or transmit CUI, but are used specifically for diagnostic and repair actions on those systems. Organizations have flexibility in determining the controls in place for maintenance tools, but can include approving, controlling, and monitoring the use of such tools. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and into organizational systems. Maintenance tools can include hardware, software, and firmware items, for example, hardware and software diagnostic test equipment and hardware and software packet sniffers.

Upon assessment, assessors must determine if-

3.7.2[a] tools used to conduct system maintenance are controlled.
3.7.2[b] techniques used to conduct system maintenance are controlled.
3.7.2[c] mechanisms used to conduct system maintenance are controlled.
3.7.2[d] personnel used to conduct system maintenance are controlled.

Assessors are instructed to-

Examine: [SELECT FROM: System maintenance policy; procedures addressing system maintenance tools and media; maintenance records; system maintenance tools and associated documentation; maintenance tool inspection records; system security plan; other relevant documents or records].

Interview: [SELECT FROM: Personnel with system maintenance responsibilities; personnel with information security responsibilities].

Test: [SELECT FROM: Organizational processes for approving, controlling, and monitoring maintenance tools; mechanisms supporting or implementing approval, control, and monitoring of maintenance tools; organizational processes for inspecting maintenance tools; mechanisms supporting or implementing inspection of maintenance tools; organizational process for inspecting media for malicious code; mechanisms supporting or implementing inspection of media used for maintenance].

FURTHER DISCUSSION

NTools used to perform maintenance must remain secure so they do not introduce viruses or other malware into your system. Controlling your maintenance techniques prevents intentional or unintentional harm to your network and systems. Additionally, the personnel responsible for maintenance activities should be supervised considering their elevated privilege on company assets.

Example

You are responsible for maintenance activities on your company’s machines. To avoid introducing additional vulnerability into the systems you are maintaining, you make sure that all maintenance tools are approved and their usage is monitored and controlled [a,b]. You ensure the tools are kept current and up-to-date [a]. You and your backup are the only people authorized to use these tools and perform system maintenance [d].

Potential Assessment Considerations

  • Potential Assessment Considerations

  • Are physical or logical access controls used to limit access to maintenance tools to authorized personnel [a]?

  • Are physical or logical access controls used to limit access to system documentation and organizational maintenance process documentation to authorized personnel [b]?

  • Are physical or logical access controls used to limit access to automated mechanisms (e.g., automated scripts, scheduled jobs) to authorized personnel [c]?

  • Are physical or logical access controls used to limit access to the system entry points that enable maintenance (e.g., administrative portals, local and remote console access, and physical equipment panels) to authorized personnel [d]?