+CA-01 Policy and Procedures

CA-01 Policy and Procedures

Control

  1. Develop, document, and disseminate to [Assignement: organization-defined personnel or roles]:
    1. [Selection(one-or-more): organization-level; mission/business process-level; system-level] assessment, authorization, and monitoring policy that:
      1. Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      2. Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
    2. Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;
  2. Designate an [Assignement: official] to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and
  3. Review and update the current assessment, authorization, and monitoring:
    1. Policy [Assignement: frequency] and following [Assignement: events] ; and
    2. Procedures [Assignement: frequency] and following [Assignement: events].

Discussion

Assessment, authorization, and monitoring policy and procedures address the controls in the CA 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 assessment, authorization, and monitoring 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 assessment, authorization, and monitoring 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.

Assessment Objective

    1. an assessment, authorization, and monitoring policy is developed and documented;
    2. the assessment, authorization, and monitoring policy is disseminated to [Assignement: personnel or roles];
    3. assessment, authorization, and monitoring procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and associated assessment, authorization, and monitoring controls are developed and documented;
    4. the assessment, authorization, and monitoring procedures are disseminated to [Assignement: personnel or roles];
        1. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] assessment, authorization, and monitoring policy addresses purpose;
        2. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] assessment, authorization, and monitoring policy addresses scope;
        3. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] assessment, authorization, and monitoring policy addresses roles;
        4. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] assessment, authorization, and monitoring policy addresses responsibilities;
        5. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] assessment, authorization, and monitoring policy addresses management commitment;
        6. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] assessment, authorization, and monitoring policy addresses coordination among organizational entities;
        7. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] assessment, authorization, and monitoring policy addresses compliance;
      2. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] assessment, authorization, and monitoring policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;
  2. the [Assignement: official] is designated to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures;
      1. the current assessment, authorization, and monitoring policy is reviewed and updated [Assignement: frequency];
      2. the current assessment, authorization, and monitoring policy is reviewed and updated following [Assignement: events];
      1. the current assessment, authorization, and monitoring procedures are reviewed and updated [Assignement: frequency];
      2. the current assessment, authorization, and monitoring procedures are reviewed and updated following [Assignement: events].

Assessment Method

Examine

Assessment, authorization, and monitoring policy and procedures system security plan privacy plan other relevant documents or records

Interview

Organizational personnel with assessment, authorization, and monitoring policy responsibilities organizational personnel with information security and privacy responsibilities

1. Přehled

1.1 Odkazy

1.2 Identifikované požadavky

1.3 Související regulace

2. Identifikované požadavky

Požadavky

3. Související regulace

Regulace

Propojené úkoly

Vazby
is blocked by CA-01 Policy and Procedures – Assessment Procedure
is blocked by Publishing Security, Compliance & Resilience Documentation
is blocked by Periodic Review & Update of Security, Compliance & Resilience Program
is blocked by Information Assurance (IA) Operations