IA-13 Identity Providers and Authorization Servers

Guidance: nonePolicy clause: noneWhat these mean

Baselines	Implementation level	Enhancements
Not in a baseline	Organization	3 (0 in a baseline)

Related controls: AC-3, IA-2, IA-3, IA-8, IA-9, IA-12

Control statement

Employ identity providers and authorization servers to manage user, device, and non-person entity (NPE) identities, attributes, and access rights supporting authentication and authorization decisions in accordance with [Assignment: organization-defined policy] using [Assignment: organization-defined mechanisms].

NIST discussion

Identity providers, both internal and external to the organization, manage the user, device, and NPE authenticators and issue statements, often called identity assertions, attesting to identities of other systems or systems components. Authorization servers create and issue access tokens to identified and authenticated users and devices that can be used to gain access to system or information resources. For example, single sign-on (SSO) provides identity provider and authorization server functions. Authenticator management (to include credential management) is covered by IA-05.

Control enhancements

IA-13(1) Protection of Cryptographic Keys

Baselines: Not in a baseline

Cryptographic keys that protect access tokens are generated, managed, and protected from disclosure and misuse.

Discussion and assessment objectives for IA-13(1)

Identity assertions and access tokens are typically digitally signed. The private keys used to sign these assertions and tokens are protected commensurate with the impact of the system and information resources that can be accessed.

Determine if:

• IA-13(01)[01] cryptographic keys that protect access tokens are generated;
• IA-13(01)[02] cryptographic keys that protect access tokens are managed;
• IA-13(01)[03] cryptographic keys that protect access tokens are protected from disclosure; and
• IA-13(01)[04] cryptographic keys that protect access tokens are protected from disclosure and misuse

Examine: Identification and authentication policy;; procedures addressing cryptographic key establishment and management;; system design documentation;; cryptographic mechanisms;; system configuration settings and associated documentation;; system security plan;; other relevant documents or records.

Interview: System/network administrators;; organizational personnel with information security responsibilities;; organizational personnel with responsibilities for cryptographic key establishment and/or management.

Test: Organizational processes for cryptographic key management;; cryptographic modules generating, storing, and using cryptographic keys.

IA-13(2) Verification of Identity Assertions and Access Tokens

Baselines: Not in a baseline

The source and integrity of identity assertions and access tokens are verified before granting access to system and information resources.

Discussion and assessment objectives for IA-13(2)

This includes verification of digital signatures protecting identity assertions and access tokens, as well as included metadata. Metadata includes information about the access request such as information unique to user, system or information resource being accessed, or the transaction itself such as time. Protected system and information resources could include connected networks, applications, and APIs.

Determine if:

• IA-13(02)[01] the source of identity assertions is verified before granting access to system and information resources;
• IA-13(02)[02] the source of access tokens is verified before granting access to system and information resources;
• IA-13(02)[03] the integrity of identity assertions is verified before granting access to system and information resources;
• IA-13(02)[04] the integrity of access tokens is verified before granting access to system and information resources

Examine: Identification and authentication policy;; system security plan; system design documentation;; system configuration settings and associated documentation;; other relevant documents or records.

Interview: Organizational personnel with system operations responsibilities;; organizational personnel with information security responsibilities;; system/ network administrators;; organizational personnel with account management responsibilities;; system developers.

Test: Identity provider mechanisms supporting and/or implementing identification and authentication capabilities and access rights.

IA-13(3) Token Management

Baselines: Not in a baseline

In accordance with [Assignment: organization-defined policy], assertions and access tokens are:

• (a) generated;
• (b) issued;
• (c) refreshed;
• (d) revoked;
• (e) time-restricted; and
• (f) audience-restricted.

Discussion and assessment objectives for IA-13(3)

An access token is a piece of data that represents the authorization granted to a user or NPE to access specific systems or information resources. Access tokens enable controlled access to services and resources. Properly managing the lifecycle of access tokens, including their issuance, validation, and revocation, is crucial to maintaining confidentiality of data and systems. Restricting token validity to a specific audience, e.g., an application or security domain, and restricting token validity lifetimes are important practices. Access tokens are revoked or invalidated if they are compromised, lost, or are no longer needed to mitigate the risks associated with stolen or misused tokens.

Determine if:

• IA-13(03)(a)[01] assertions are generated in accordance with [Assignment: organization-defined policy];
• IA-13(03)(a)[02] access tokens are generated in accordance with [Assignment: organization-defined policy];
• IA-13(03)(b)[01] assertions are issued in accordance with [Assignment: organization-defined policy];
• IA-13(03)(b)[02] access tokens are issued in accordance with [Assignment: organization-defined policy];
• IA-13(03)(c)[01] assertions are refreshed in accordance with [Assignment: organization-defined policy];
• IA-13(03)(c)[02] access tokens are refreshed in accordance with [Assignment: organization-defined policy];
• IA-13(03)(d)[01] assertions are revoked in accordance with [Assignment: organization-defined policy];
• IA-13(03)(d)[02] access tokens are revoked in accordance with [Assignment: organization-defined policy];
• IA-13(03)(e)[01] assertions are time-restricted in accordance with [Assignment: organization-defined policy];
• IA-13(03)(e)[02] access tokens are time-restricted in accordance with [Assignment: organization-defined policy];
• IA-13(03)(f)[01] assertions are audience-restricted in accordance with [Assignment: organization-defined policy];
• IA-13(03)(f)[02] access tokens are audience-restricted in accordance with [Assignment: organization-defined policy];

Examine: Identification and authentication policy;; access control policy;; procedures for assertion and token management;; system design documentation;; system configuration settings and associated documentation;; other relevant documents or records.

Interview: Organizational personnel with system operations responsibilities;; organizational personnel with information security responsibilities;; system/ network administrators;; organizational personnel with account management responsibilities;; system developers.

Test: Mechanisms and software supporting and/or implementing token generation.

Assessment objectives (SP 800-53A)

Objectives and methods for IA-13

Determine if:

• IA-13[01] identity providers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authentication decisions in accordance with [Assignment: organization-defined mechanisms] using [Assignment: organization-defined mechanisms];
• IA-13[02] identity providers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authorization decisions in accordance with [Assignment: organization-defined mechanisms] using [Assignment: organization-defined mechanisms];
• IA-13[03] authorization servers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authentication decisions in accordance with [Assignment: organization-defined mechanisms] using [Assignment: organization-defined mechanisms];
• IA-13[04] authorization servers are employed to manage user, device, and non-person entity (NPE) identities, attributes and access rights supporting authorization decisions in accordance with [Assignment: organization-defined mechanisms] using [Assignment: organization-defined mechanisms];

Examine: Identification and authentication policy;; procedures addressing user and device identification and authentication;; system security plan;; system design documentation;; system configuration settings and associated documentation;; other relevant documents or records.

Interview: Organizational personnel with system operations responsibilities;; organizational personnel with information security responsibilities;; system/network administrators;; organizational personnel with account management responsibilities;; system developers.

Test: Mechanisms supporting and/or implementing identification and authentication capabilities and access rights.