NIST 800-53 REV 5 • INCIDENT RESPONSE
IR-1 — Policy and Procedures
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Supplemental Guidance
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.
Practitioner Notes
This control requires you to write down your incident response policy and make sure everyone who needs it can find it. Think of it as your company's official playbook for what happens when something goes wrong with your systems or data.
Example 1: Create an Incident Response Policy document in SharePoint under a dedicated Security Policies library. Include sections on scope, roles, reporting timelines, and escalation paths. Set a calendar reminder to review it annually and after any major incident.
Example 2: Use a policy management tool like PowerDMS or even a simple Word template with version control. Distribute the policy via email to all staff and require acknowledgment signatures. Store signed acknowledgments in your compliance folder for auditor review.