Assessment Objective

Determine if:

• IA-01a.
  • IA-01a.[01] an identification and authentication policy is developed and documented;
  • IA-01a.[02] the identification and authentication policy is disseminated to [Assignment: personnel or roles];
  • IA-01a.[03] identification and authentication procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls are developed and documented;
  • IA-01a.[04] the identification and authentication procedures are disseminated to [Assignment: personnel or roles];
  • IA-01a.01
    • IA-01a.01(a)
      • IA-01a.01(a)[01] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses purpose;
      • IA-01a.01(a)[02] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses scope;
      • IA-01a.01(a)[03] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses roles;
      • IA-01a.01(a)[04] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses responsibilities;
      • IA-01a.01(a)[05] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses management commitment;
      • IA-01a.01(a)[06] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses coordination among organizational entities;
      • IA-01a.01(a)[07] the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy addresses compliance;
    • IA-01a.01(b) the [Selection (one or more): organization-level; mission/business process-level; system-level] identification and authentication policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;
• IA-01b. the [Assignment: official] is designated to manage the development, documentation, and dissemination of the identification and authentication policy and procedures;
• IA-01c.
  • IA-01c.01
    • IA-01c.01[01] the current identification and authentication policy is reviewed and updated [Assignment: frequency];
    • IA-01c.01[02] the current identification and authentication policy is reviewed and updated following [Assignment: events];
  • IA-01c.02
    • IA-01c.02[01] the current identification and authentication procedures are reviewed and updated [Assignment: frequency];
    • IA-01c.02[02] the current identification and authentication procedures are reviewed and updated following [Assignment: events].

Assessment Methods

Examine

• Identification and authentication policy and procedures
• system security plan
• privacy plan
• risk management strategy documentation
• list of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings)
• other relevant documents or records

Interview

• Organizational personnel with identification and authentication responsibilities
• organizational personnel with information security and privacy responsibilities

Verknüpfte Vorgänge

• NIST -

  https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final