CA-3 Information Exchange
a. Approve and manage the exchange of information between the system and other systems using Selection (one or more): interconnection security agreements; information exchange security agreements; memoranda of understanding or agreement; service level agreements; user agreements; nondisclosure agreements; [organization-defined type of agreement]; b. Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and c. Review and update the agreements organization-defined frequency.
Source: NIST SP 800-53 Rev 5, CA-3. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open NIST SP 800-53 Rev 5 in the compliance library.
Base controls and their enhancements. Which apply follows the baseline you are assessed against (for example FedRAMP Moderate or High, or the low, moderate and high baselines of SP 800-53B). Text in square brackets is a parameter your organisation sets.
These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
none for this control
governing documentDocuments that govern the control
- Access control policy · Policy repository / GRC workspace
- Procedures addressing system connections · Policy repository / GRC workspace
- System and communications protection policy · Policy repository / GRC workspace
- System interconnection security agreements · Policy repository / GRC workspace
- Information exchange security agreements · Policy repository / GRC workspace
- Memoranda of understanding or agreements · Policy repository / GRC workspace
- Service level agreements · Policy repository / GRC workspace
- Non-disclosure agreements · Policy repository / GRC workspace
- System design documentation · Policy repository / GRC workspace
First move
Common gaps auditors find
- Information exchanges with external systems operate without an approved interconnection or exchange agreement
- Exchange agreements omit interface characteristics, security and privacy requirements, or the impact level of information exchanged
Do this for your whole sheet
Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.
Build my evidence sheetCA-2(3) Control Assessments | Leveraging Results from External Organizations · CA-3(6) Information Exchange | Transfer Authorizations