PL-01 Policy and Procedures

a. Develop, document, and disseminate to pl-1_prm_1:

1. pl-01_odp.03 planning policy that:

(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and

2. Procedures to facilitate the implementation of the planning policy and the associated planning controls;

b. Designate an pl-01_odp.04 to manage the development, documentation, and dissemination of the planning policy and procedures; and

c. Review and update the current planning:

1. Policy pl-01_odp.05 and following pl-01_odp.06 ; and

2. Procedures pl-01_odp.07 and following pl-01_odp.08.

Parameter ID Definition
pl-1_prm_1 organization-defined personnel or roles
pl-01_odp.01 personnel or roles
pl-01_odp.02 personnel or roles

Selection (one-or-more):

  • organization-level
  • mission/business process-level
  • system-level
pl-01_odp.04 official
pl-01_odp.05 frequency
pl-01_odp.06 events
pl-01_odp.07 frequency
pl-01_odp.08 events



Planning policy and procedures for the controls in the PL family 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 their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level 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/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 planning policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

References 6

Related controls 3