Assessment Objective

Determine if:

• PM-03a.
  • PM-03a.[01] the resources needed to implement the information security program are included in capital planning and investment requests, and all exceptions are documented;
  • PM-03a.[02] the resources needed to implement the privacy program are included in capital planning and investment requests, and all exceptions are documented;
• PM-03b.
  • PM-03b.[01] the documentation required for addressing the information security program in capital planning and investment requests is prepared in accordance with applicable laws, executive orders, directives, policies, regulations, standards;
  • PM-03b.[02] the documentation required for addressing the privacy program in capital planning and investment requests is prepared in accordance with applicable laws, executive orders, directives, policies, regulations, standards;
• PM-03c.
  • PM-03c.[01] information security resources are made available for expenditure as planned;
  • PM-03c.[02] privacy resources are made available for expenditure as planned.

Assessment Methods

Examine

• Information security program plan
• Exhibit 300
• Exhibit 53
• business cases for capital planning and investment
• procedures for capital planning and investment
• documentation of exceptions to capital planning requirements
• other relevant documents or records

Interview

• Organizational personnel with information security program planning responsibilities
• organizational personnel with privacy program planning responsibilities
• organizational personnel responsible for capital planning and investment
• organizational personnel with information security responsibilities
• organizational personnel with privacy responsibilities

Test

• Organizational processes for capital planning and investment
• organizational processes for business case, Exhibit 300, and Exhibit 53 development
• mechanisms supporting the capital planning and investment process

Tickets liés

• 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.