SC-37 Out-of-band Channels

Guidance: nonePolicy clause: noneWhat these mean

Baselines	Implementation level	Enhancements
Not in a baseline	Organization	1 (0 in a baseline)

Related controls: AC-2, CM-3, CM-5, CM-7, IA-2, IA-4, IA-5, MA-4, SC-12, SI-3, SI-4, SI-7

Control statement

Employ the following out-of-band channels for the physical delivery or electronic transmission of [Assignment: organization-defined information, system components, or devices] to [Assignment: organization-defined individuals or systems]: [Assignment: organization-defined out-of-band channels].

NIST discussion

Out-of-band channels include local, non-network accesses to systems; network paths physically separate from network paths used for operational traffic; or non-electronic paths, such as the U.S. Postal Service. The use of out-of-band channels is contrasted with the use of in-band channels (i.e., the same channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability or exposure as in-band channels. Therefore, the confidentiality, integrity, or availability compromises of in-band channels will not compromise or adversely affect the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of organizational items, including authenticators and credentials; cryptographic key management information; system and data backups; configuration management changes for hardware, firmware, or software; security updates; maintenance information; and malicious code protection updates. For example, cryptographic keys for encrypted files are delivered using a different channel than the file.

Control enhancements

SC-37(1) Ensure Delivery and Transmission

Baselines: Not in a baseline

Employ [Assignment: organization-defined controls] to ensure that only [Assignment: organization-defined individuals or systems] receive the following information, system components, or devices: [Assignment: organization-defined information, system components, or devices].

Discussion and assessment objectives for SC-37(1)

Techniques employed by organizations to ensure that only designated systems or individuals receive certain information, system components, or devices include sending authenticators via an approved courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.

Determine if [Assignment: organization-defined controls] are employed to ensure that only [Assignment: organization-defined individuals or systems] receive [Assignment: organization-defined information, system components, or devices].

Examine: System and communications protection policy; procedures addressing the use of out-of-band channels; access control policy and procedures; identification and authentication policy and procedures; system design documentation; system architecture; system configuration settings and associated documentation; list of security safeguards to be employed to ensure that designated individuals or systems receive organization-defined information, system components, or devices; list of security safeguards for delivering designated information, system components, or devices to designated individuals or systems; list of information, system components, or devices to be delivered to designated individuals or systems; system audit records; system security plan; other relevant documents or records.

Interview: System/network administrators; organizational personnel with information security responsibilities; organizational personnel installing, configuring, and/or maintaining the system; organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels; system developers/integrators.

Test: Organizational processes for the use of out-of-band channels; mechanisms supporting and/or implementing the use of out-of-band channels; mechanisms supporting/implementing safeguards to ensure the delivery of designated information, system components, or devices.

Assessment objectives (SP 800-53A)

Objectives and methods for SC-37

Determine if [Assignment: organization-defined out-of-band channels] are employed for the physical delivery or electronic transmission of [Assignment: organization-defined information, system components, or devices] to [Assignment: organization-defined individuals or systems].

Examine: System and communications protection policy; procedures addressing the use of out-of-band channels; access control policy and procedures; identification and authentication policy and procedures; system design documentation; system architecture; system configuration settings and associated documentation; list of out-of-band channels; types of information, system components, or devices requiring the use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or systems; physical delivery records; electronic transmission records; system audit records; system security plan; other relevant documents or records.

Interview: System/network administrators; organizational personnel with information security responsibilities; organizational personnel installing, configuring, and/or maintaining the system; organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels; system developers/integrators.

Test: Organizational processes for the use of out-of-band channels; mechanisms supporting and/or implementing the use of out-of-band channels.