NIST 800-53 (Security and Privacy Controls)
National Institute of Standards and Technology (NIST) has published series of special publications on Information Security Standards for Federal Government sectors.
Most commonly referred publications are:
- NIST SP 800-53: Recommended Security Controls for Federal Information Systems
- NIST SP 800-171: Protecting Controlled Unclassified Information (CUI) in Nonfederal Information Systems and Organizations
NIST standards are developed for the government organizations to secure their information systems. There is no certification scheme available based on the NIST standards. Contractors are now required to comply with NIST SP 800-171 with target deadlines. Very often the government also requires contractors to comply with NIST SP 800-53.
If organization is not willing to go for ISO 27001 registration, DQS can conduct independent conformity assessment against the NIST standard. After successful assessment, DQS will issue a “Letter of Conformance (LOC)” and detailed assessment report as evidence of conformance to the applicable NIST standard. The assessment report and LOC will be valid for one year. Reassessment will be required for continuous evidence of conformance.
The process starts with the client’s needs and expectations. DQS wants to learn about the client’s organization, its management system, size and types of operation. Together both parties will define objectives for the assessment and/or certification, including applicable standards and specifications.
DQS will provide a detailed offer for assessment and certification services, tailored to individual client needs, based on the information provided initially. A written contract will specify all relevant deliverables as well as applicable assessment and certification criteria.
A pre-audit can serve as initial performance or gap analysis, identifying strengths and areas for improvement. For larger assessment and certification projects a project planning meeting provides a valuable opportunity for the client to meet the lead assessor and develop a customized assessment plan for all functions and locations involved. Both services are optional.
The assessment procedure itself begins with review and evaluation of system documentation, goals, results of management review and internal audits. During this process, it will be determined whether the client’s management system is sufficiently developed and ready for certification. The assessor will explain findings and coordinate any required activities to prepare for the on-site system assessment.
The assigned auditor team will audit the client’s management system at the place of production or service delivery. Applying defined management system standards and specifications, the assessment team will evaluate the effectiveness of all functional areas as well as all management system processes, based upon observations, inspections, interviews, review of pertinent records, and other assessment techniques. The audit result, including all findings will be presented to the client during the closing meeting. Required action plans will be agreed upon as necessary.
The independent certification function of DQS will evaluate the audit process and its results, and decide independently about issuance of the certificate. The client receives an audit report, documenting the audit results. When all applicable requirements are fulfilled the client also receives the certificate.
Either semi-annually or at least once per year, there will be an on-site audit of the critical components of the management system. Improvement potential will be identified, with a focus on continual improvement and sustained effectiveness.
A management system certificate is valid for a limited period of time, frequently for a maximum of three years. At the end of this cycle, a re-audit will be carried out to ensure the ongoing fulfillment of all applicable requirements. Subject to this fulfillment, a new certificate will be issued.
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