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Provided by: Security University QCA Qualified Certification AccreditationTraining, Instruction and Documentation |
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A typical Certification Package usually consists of a minimum of half a dozen documents, though more documentation may be required if the systems contain classified information or highly sensitive data. Each agency is responsible for defining their own C&A process and it must be well-documented in the form of a C&A Handbook. The C&A Handbook is based on one of the three well-known methodologies (NIST, DITSCAP, or NIACAP) with various customizations that are unique for each particular agency. Preparing the C&A package is sometimes referred to as a C&A Review.
Once a Certification Package has been prepared, Mission Assurance auditors review the package and then make decisions on whether or not the systems should be accredited according to the proposed recommendation. All federal agencies must obtain an Authority to Operation (ATO) before their systems can be legitimately and legally used for production purposes.
If the Certification Package does not appear to contain the right information, or if the information reported in the package is considered unacceptable (for example, if there are unacceptable risks cited with inappropriate safeguards to mitigate the risks) the agency may be given an Interim Authority to Operation (IATO), which allows them to operate their systems for usually three months while they correct their deficiencies.
In preparing a C & A package, the documents that are typically required (according to the NIST methodology) include the following:
- System Categorization Statement
- System Description with System Boundaries Noted
- Network Diagram and Data Flows
- Software and Hardware Inventory
- Business Risk Assessment
- System Risk Assessment
- Contingency Plan
- Self-Assessment
- System Security Plan
Depending on the requirements of the particular agency, other documents or variations of these particular documents may also be required. NIST publishes an excellent collection of documents that provide guidance for the C&A review that will explain what sort of information should be reported in each of the required documents.
