CA-02 Control Assessments – Assessment Procedure

Assessment Objective

Determine if:

CA-02a. an appropriate assessor or assessment team is selected for the type of assessment to be conducted;
CA-02b.
- CA-02b.01 a control assessment plan is developed that describes the scope of the assessment, including controls and control enhancements under assessment;
- CA-02b.02 a control assessment plan is developed that describes the scope of the assessment, including assessment procedures to be used to determine control effectiveness;
- CA-02b.03
  - CA-02b.03[01] a control assessment plan is developed that describes the scope of the assessment, including the assessment environment;
  - CA-02b.03[02] a control assessment plan is developed that describes the scope of the assessment, including the assessment team;
  - CA-02b.03[03] a control assessment plan is developed that describes the scope of the assessment, including assessment roles and responsibilities;
CA-02c. the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;
CA-02d.
- CA-02d.[01] controls are assessed in the system and its environment of operation [Assignment: assessment frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
- CA-02d.[02] controls are assessed in the system and its environment of operation [Assignment: assessment frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established privacy requirements;
CA-02e. a control assessment report is produced that documents the results of the assessment;
CA-02f. the results of the control assessment are provided to [Assignment: individuals or roles].

Assessment Methods

Examine

Assessment, authorization, and monitoring policy
procedures addressing assessment planning
procedures addressing control assessments
control assessment plan
control assessment report
system security plan
privacy plan
other relevant documents or records

Interview

Organizational personnel with control assessment responsibilities
organizational personnel with information security and privacy responsibilities

Test

Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting

Verknüpfte Vorgänge

Verknüpfungen
Verknüpfungstyp	Vorgang
blocks	CA-02 Control Assessments

NIST -
EN: Publications of the National Institute of Standards and Technology (NIST), U.S. Department of Commerce, https://www.nist.gov/, from their electronic versions (OSCAL; SP 800-63-4 from its HTML version, https://pages.nist.gov/800-63-4/). Works of NIST employees are not subject to copyright protection in the United States (17 U.S.C. § 105); the OSCAL content is dedicated to the public domain worldwide (CC0 1.0); outside the United States NIST grants the right to reprint its technical series publications in all formats (NIST copyright statement). Republished courtesy of the National Institute of Standards and Technology; each document names its citation. Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by NIST are authoritative.

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