PE-1 Physical and Environmental Policies and Procedures (L) (M) (H)

NIST 800-53 (r4) Control:

The organization:

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:

1. A physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2. Procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and

b. Reviews and updates the current:

1. Physical and environmental protection policy [FedRAMP Assignment: (H) at least annually, (L) (M) at least every three years]; and

2. Physical and environmental protection procedures [FedRAMP Assignment: (H) at least annually or whenever a significant change occurs, (L) (M) at least annually].

NIST 800-53 (r4) Supplemental Guidance:

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.

NIST 800-53 (r5) Discussion:

Physical and environmental protection policy and procedures address the controls in the PE 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 physical and environmental protection 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 physical and environmental protection 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.

38North Guidance:

Meets Minimum Requirement:

• Develop, document and disseminate PE policies and procedures.

• PE policies and procedures must address all PE controls contained in the PE family, including physical access control, visitor control, emergency shutoff, power and lighting and water damage.

• Policy must include: purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance

• Review, approve, and update (when a review indicates updates are required) documented PE policies and procedures as required per a L, M or H categorization.

Best Practice:

• TBD

Unofficial FedRAMP Guidance:

• TBD

Assessment Evidence:

• Versioned PE policies and procedures documents with last update, last approval date, and approver.

• Approval by management within the timeframe indicated by the security categorization, or as a result of a major change in the environment.

CSP Implementation Tips:

• Amazon Web Services (AWS): Hosting in AWS will mean that PE is largely inherited, though be prepared to discuss PE-17 re: working from an alternate site.

• Microsoft Azure: Hosting in Azure will mean that PE is largely inherited, though be prepared to discuss PE-17 re: working from an alternate site.

• Google Cloud Platform: Hosting in GCP will mean that PE is largely inherited, though be prepared to discuss PE-17 re: working from an alternate site.