SA-4(11)_system-of-records

SA-4(11) System of Records

Enhancement of: SA-4

High-Level Description

Family: System and Services Acquisition (SA) Framework: NIST SP 800-53 Rev 5

When, by contract, an organization provides for the operation of a system of records to accomplish an organizational mission or function, the organization, consistent with its authority, causes the requirements of the PRIVACT to be applied to the system of records.

What to Check

• Verify SA-4(11) System of Records is documented in SSP
• Confirm control is operating effectively
• Review evidence of continuous monitoring for SA-4(11)
• Verify enhancement builds upon base control SA-4

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for SA-4(11) implementation details. Verify the organization has documented how this control is satisfied.

Step 2: Validate Implementation

# For cloud environments, use cloud-audit-mcp tools
# For on-premises, review system configurations directly

# Example: Check if account management policies exist
grep -r "account.management\|access.control" /etc/security/ 2>/dev/null

Step 3: Test Operating Effectiveness

Verify the control is actively functioning, not just documented. Check logs, configurations, and operational evidence.

Tools

Remediation Guide

Control Statement

Include [organization-defined] in the acquisition contract for the operation of a system of records on behalf of an organization to accomplish an organizational mission or function.

Implementation Guidance

When, by contract, an organization provides for the operation of a system of records to accomplish an organizational mission or function, the organization, consistent with its authority, causes the requirements of the PRIVACT to be applied to the system of records.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - SA-4(11)
• NIST SP 800-53A Rev 5 (Assessment Procedures)
• NIST SP 800-53 Rev 5 Full Catalog

Checklist

• Control documented in SSP
• Implementation evidence collected
• Operating effectiveness validated
• Continuous monitoring in place
• Related controls (PT-6) reviewed