IR-01 [H] Policy and Procedures – Assessment Procedure

Assessment Objective

Determine if:

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

Assessment Methods

Examine

Incident response policy and procedures
system security plan
privacy plan
other relevant documents or records

Interview

Organizational personnel with incident response responsibilities
organizational personnel with information security and privacy responsibilities

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blocks	IR-01 [H] Policy and Procedures

NIST -
EN: Publications of the National Institute of Standards and Technology (NIST), U.S. Department of Commerce, https://www.nist.gov/, from their electronic versions (OSCAL; SP 800-63-4 from its HTML version, https://pages.nist.gov/800-63-4/). Works of NIST employees are not subject to copyright protection in the United States (17 U.S.C. § 105); the OSCAL content is dedicated to the public domain worldwide (CC0 1.0); outside the United States NIST grants the right to reprint its technical series publications in all formats (NIST copyright statement). Republished courtesy of the National Institute of Standards and Technology; each document names its citation. Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by NIST are authoritative.

DE: Veröffentlichungen des National Institute of Standards and Technology (NIST), U.S. Department of Commerce, https://www.nist.gov/, aus ihren elektronischen Fassungen (OSCAL; SP 800-63-4 aus ihrer HTML-Fassung, https://pages.nist.gov/800-63-4/). Werke von NIST-Beschäftigten sind in den USA urheberrechtlich nicht geschützt (17 U.S.C. § 105); die OSCAL-Inhalte sind weltweit gemeinfrei gestellt (CC0 1.0); außerhalb der USA räumt das NIST das Recht ein, seine Technical-Series-Publikationen in allen Formaten neu zu veröffentlichen (Copyright-Hinweis des NIST). „Republished courtesy of the National Institute of Standards and Technology“; jedes Dokument nennt seine Zitierangabe. In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die vom NIST veröffentlichten Fassungen.