PT-01 [P] Policy and Procedures – Assessment Procedure

Assessment Objective

Determine if:

PT-01a.
- PT-01a.[01] a personally identifiable information processing and transparency policy is developed and documented;
- PT-01a.[02] the personally identifiable information processing and transparency policy is disseminated to [Assignment: personnel or roles];
- PT-01a.[03] personally identifiable information processing and transparency procedures to facilitate the implementation of the personally identifiable information processing and transparency policy and associated personally identifiable information processing and transparency controls are developed and documented;
- PT-01a.[04] the personally identifiable information processing and transparency procedures are disseminated to [Assignment: personnel or roles];
- PT-01a.01
  - PT-01a.01(a)
    - PT-01a.01(a)[01] the [Selection (one or more): organization-level; mission/business process-level; system-level] personally identifiable information processing and transparency policy addresses purpose;
    - PT-01a.01(a)[02] the [Selection (one or more): organization-level; mission/business process-level; system-level] personally identifiable information processing and transparency policy addresses scope;
    - PT-01a.01(a)[03] the [Selection (one or more): organization-level; mission/business process-level; system-level] personally identifiable information processing and transparency policy addresses roles;
    - PT-01a.01(a)[04] the [Selection (one or more): organization-level; mission/business process-level; system-level] personally identifiable information processing and transparency policy addresses responsibilities;
    - PT-01a.01(a)[05] the [Selection (one or more): organization-level; mission/business process-level; system-level] personally identifiable information processing and transparency policy addresses management commitment;
    - PT-01a.01(a)[06] the [Selection (one or more): organization-level; mission/business process-level; system-level] personally identifiable information processing and transparency policy addresses coordination among organizational entities;
    - PT-01a.01(a)[07] the [Selection (one or more): organization-level; mission/business process-level; system-level] personally identifiable information processing and transparency policy addresses compliance;
  - PT-01a.01(b) the [Selection (one or more): organization-level; mission/business process-level; system-level] personally identifiable information processing and transparency policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;
PT-01b. the [Assignment: official] is designated to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures;
PT-01c.
- PT-01c.01
  - PT-01c.01[01] the current personally identifiable information processing and transparency policy is reviewed and updated [Assignment: frequency];
  - PT-01c.01[02] the current personally identifiable information processing and transparency policy is reviewed and updated following [Assignment: events];
- PT-01c.02
  - PT-01c.02[01] the current personally identifiable information processing and transparency procedures are reviewed and updated [Assignment: frequency];
  - PT-01c.02[02] the current personally identifiable information processing and transparency procedures are reviewed and updated following [Assignment: events].

Assessment Methods

Examine

Personally identifiable information processing and transparency policy and procedures
privacy plan
privacy program plan
other relevant documents or records

Interview

Organizational personnel with personally identifiable information processing and transparency responsibilities
organizational personnel with information security and privacy responsibilities

Linkitetyt tehtävät

Linkit
Linkin tyyppi	Tehtävä
blocks	PT-01 [P] Policy and Procedures

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.

DE: Veröffentlichungen des National Institute of Standards and Technology (NIST), U.S. Department of Commerce, https://www.nist.gov/, aus ihren elektronischen Fassungen (OSCAL; SP 800-63-4 aus ihrer HTML-Fassung, https://pages.nist.gov/800-63-4/). Werke von NIST-Beschäftigten sind in den USA urheberrechtlich nicht geschützt (17 U.S.C. § 105); die OSCAL-Inhalte sind weltweit gemeinfrei gestellt (CC0 1.0); außerhalb der USA räumt das NIST das Recht ein, seine Technical-Series-Publikationen in allen Formaten neu zu veröffentlichen (Copyright-Hinweis des NIST). „Republished courtesy of the National Institute of Standards and Technology“; jedes Dokument nennt seine Zitierangabe. In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die vom NIST veröffentlichten Fassungen.