NIST SP 800-53 SI-1 Policy and Procedures | Security Control Explorer

Requirements NIST SOURCE

1. 1.[one of: organization-level; mission/business process-level; system-level] system and information integrity policy that:
  1. (a)Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
  2. (b)Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
2. 2.Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;
Requirement Context
This element is part of SI-1 — Policy and Procedures. See the Assessment section below for the related SP 800-53A examine/interview/test procedures. No engineering interpretation has been authored for this control yet.
1. 1.Policy [frequency] and following [events] ; and
2. 2.Procedures [frequency] and following [events].
Requirement Context
This element is part of SI-1 — Policy and Procedures. See the Assessment section below for the related SP 800-53A examine/interview/test procedures. No engineering interpretation has been authored for this control yet.

Discussion (NIST Supplemental Guidance)

System and information integrity policy and procedures address the controls in the SI 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 system and information integrity 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 system and information integrity policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

Implementation Guidance

Engineering Interpretation

Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.

No engineering interpretation has been authored for SI-1 yet. This section is architected to receive it — see the Requirements and Assessment sections above for the authoritative NIST source content in the meantime.

Assessment

NIST SP 800-53A REV 5.2.0

Assessment Objectives

personnel or roles to whom the system and information integrity policy is to be disseminated is/are defined;
personnel or roles to whom the system and information integrity procedures are to be disseminated is/are defined;
one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level};
an official to manage the system and information integrity policy and procedures is defined;
the frequency at which the current system and information integrity policy is reviewed and updated is defined;
events that would require the current system and information integrity policy to be reviewed and updated are defined;
the frequency at which the current system and information integrity procedures are reviewed and updated is defined;
events that would require the system and information integrity procedures to be reviewed and updated are defined;
a system and information integrity policy is developed and documented;
the system and information integrity policy is disseminated to <SI-01_ODP[01] personnel or roles>;
system and information integrity procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls are developed and documented;
the system and information integrity procedures are disseminated to <SI-01_ODP[02] personnel or roles>;
the <SI-01_ODP[03] SELECTED PARAMETER VALUES> system and information integrity policy addresses purpose;
the <SI-01_ODP[03] SELECTED PARAMETER VALUES> system and information integrity policy addresses scope;
the <SI-01_ODP[03] SELECTED PARAMETER VALUES> system and information integrity policy addresses roles;
the <SI-01_ODP[03] SELECTED PARAMETER VALUES> system and information integrity policy addresses responsibilities;
the <SI-01_ODP[03] SELECTED PARAMETER VALUES> system and information integrity policy addresses management commitment;
the <SI-01_ODP[03] SELECTED PARAMETER VALUES> system and information integrity policy addresses coordination among organizational entities;
the <SI-01_ODP[03] SELECTED PARAMETER VALUES> system and information integrity policy addresses compliance;
the <SI-01_ODP[03] SELECTED PARAMETER VALUES> system and information integrity policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;
the <SI-01_ODP[04] official> is designated to manage the development, documentation, and dissemination of the system and information integrity policy and procedures;
the current system and information integrity policy is reviewed and updated <SI-01_ODP[05] frequency>;
the current system and information integrity policy is reviewed and updated following <SI-01_ODP[06] events>;
the current system and information integrity procedures are reviewed and updated <SI-01_ODP[07] frequency>;
the current system and information integrity procedures are reviewed and updated following <SI-01_ODP[08] events>.

Examine

[SELECT FROM: System and information integrity policy; system and information integrity procedures; system security plan; privacy plan; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with system and information integrity responsibilities; organizational personnel with information security and privacy responsibilities].

Overlays

OT/ICS Overlay SP 800-82r3

NIST SP 800-82r3 Appendix F, Table 22. Blank baseline means the control/control enhancement is not selected in that initial OT baseline.

LOW

Base control: Included (matches standard baseline)

MODERATE

Base control: Included (matches standard baseline)

HIGH

Base control: Included (matches standard baseline)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for SI-1. This section is architected to display, per product: STIG ID, Finding ID, Severity, Title, Description, Check, Fix, CCI, and NIST control mapping — but nothing is populated here until a real DISA STIG/CCI dataset is ingested.

Learn more about STIG/CCI integration →

Evidence

Potential Evidence — Derived

Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.