IR-1—Policy and Procedures
>Control Description
Develop, document, and disseminate to ⚙organization-defined personnel or roles: (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
[Selection (one or more): Organization-level; Mission/business process-level; System-level] incident response policy that:
Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;
Designate an ⚙organization-defined official to manage the development, documentation, and dissemination of the incident response policy and procedures; and
Review and update the current incident response:
Policy ⚙organization-defined frequency and following ⚙organization-defined events; and
Procedures ⚙organization-defined frequency and following ⚙organization-defined events.
>FedRAMP Baseline Requirements
Parameter Values
>Discussion
Incident response policy and procedures address the controls in the IR family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance.
Therefore, it is important that security and privacy programs collaborate on the development of incident response policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations.
Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents.
Events that may precipitate an update to incident response policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.
>Cross-Framework Mappings
>Assessment Interview Topics
Questions assessors commonly ask
Process & Governance:
- •What formal policies and procedures govern the implementation of IR-1 (Policy And Procedures)?
- •Who are the designated roles responsible for implementing, maintaining, and monitoring IR-1?
- •How frequently is the IR-1 policy reviewed and updated, and what triggers policy changes?
- •What governance structure ensures IR-1 requirements are consistently applied across all systems?
Technical Implementation:
- •Describe the specific technical mechanisms or controls used to enforce IR-1 requirements.
- •What automated tools, systems, or technologies are deployed to implement IR-1?
- •How is IR-1 integrated into your system architecture and overall security posture?
- •What configuration settings, parameters, or technical specifications enforce IR-1 requirements?
Evidence & Documentation:
- •What documentation demonstrates the complete implementation of IR-1?
- •What audit logs, records, reports, or monitoring data validate IR-1 compliance?
- •Can you provide evidence of periodic reviews, assessments, or testing of IR-1 effectiveness?
- •What artifacts would you present during a FedRAMP assessment to demonstrate IR-1 compliance?
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