3.4.7

Requirement

Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services.

Discussion

Restricting the use of nonessential software (programs) includes restricting the roles allowed to approve program execution; prohibiting auto-execute; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time. The organization makes a security-based determination which functions, ports, protocols, and/or services are restricted. Bluetooth, File Transfer Protocol (FTP), and peer-to-peer networking are examples of protocols organizations consider preventing the use of, restricting, or disabling.

NIST 800-171A Assessment Guidance

Examine

[SELECT FROM: Configuration management policy; procedures addressing least functionality in the system; configuration management plan; security plan; system design documentation; system configuration settings and associated documentation; specifications for preventing software program execution; security configuration checklists; documented reviews of programs, functions, ports, protocols, and/or services; change control records; system audit logs and records; other relevant documents or records].
Interview

[SELECT FROM: Personnel with responsibilities for reviewing programs, functions, ports, protocols, and services on the system; personnel with information security responsibilities; system or network administrators; system developers].
Test

[SELECT FROM: Organizational processes for reviewing and disabling nonessential programs, functions, ports, protocols, or services; mechanisms implementing review and handling of nonessential programs, functions, ports, protocols, or services; organizational processes preventing program execution on the system; organizational processes for software program usage and restrictions; mechanisms supporting or implementing software program usage and restrictions; mechanisms preventing program execution on the system].

ID	Assessment Objectives
3.4.7[a]	Essential programs are defined.
3.4.7[b]	The use of nonessential programs is defined.
3.4.7[c]	The use of nonessential programs is restricted, disabled, or prevented as defined.
3.4.7[d]	Essential functions are defined.
3.4.7[e]	The use of nonessential functions is defined.
3.4.7[f]	The use of nonessential functions is restricted, disabled, or prevented as defined.
3.4.7[g]	Essential ports are defined.
3.4.7[h]	The use of nonessential ports is defined.
3.4.7[i]	The use of nonessential ports is restricted, disabled, or prevented as defined.
3.4.7[j]	Essential protocols are defined.
3.4.7[k]	The use of nonessential protocols is defined.
3.4.7[l]	The use of nonessential protocols is restricted, disabled, or prevented as defined.
3.4.7[m]	Essential services are defined.
3.4.7[n]	The use of nonessential services is defined.
3.4.7[o]	The use of nonessential services is restricted, disabled, or prevented as defined.

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