IA-1 Policy and procedures for identification and authentication
Requires an identification and authentication policy with supporting procedures to be developed, approved, disseminated to defined personnel, owned by a named official, and reviewed and updated on a defined frequency and
5
artefacts
0
held by a system
0
at each review
hard
to go live
Policy repository / GRC workspace
where the evidence lives
teal = a system already holds it · olive = produced at each review
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
- Approved identification and authentication policy with scope, approver and date · Policy repository / GRC workspace
- Evidence the identification and authentication policy reached the personnel or roles it defines · Policy repository / GRC workspace
- Written designation of the official accountable for the identification and authentication policy and procedures · Policy repository / GRC workspace
- Procedures covering identity proofing, authenticator issue and revocation · Policy repository / GRC workspace
- Review record for the identification and authentication policy and procedures against the defined frequency and triggering events · Policy repository / GRC workspace
First move
This control is evidenced by people and documents, not systems. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date. Do not try to automate it.
Common gaps auditors find
- Policy predates multi-factor rollout and still describes password only authentication
- Non-organizational and machine identities not addressed by the policy
- No review cadence defined for the identification and authentication policy, so it silently ages
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 sheetCP-13 Alternative Security Mechanisms. Employ [organization-defined] for satisfying [organization-defined] when the primary means of implementing the security function is unavailable or compromised · IA-2 Identification and authentication of organizational users