PT-01 Policy and Procedures

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

1. pt-01_odp.03 personally identifiable information processing and transparency 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 personally identifiable information processing and transparency policy and the associated personally identifiable information processing and transparency controls;

b. Designate an pt-01_odp.04 to manage the development, documentation, and dissemination of the personally identifiable information processing and transparency policy and procedures; and

c. Review and update the current personally identifiable information processing and transparency:

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

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

Parameter ID Definition
pt-1_prm_1 organization-defined personnel or roles
pt-01_odp.01 personnel or roles
pt-01_odp.02 personnel or roles
pt-01_odp.03

Selection (one-or-more):

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

Baselines

Guidance

Personally identifiable information processing and transparency policy and procedures address the controls in the PT 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 personally identifiable information processing and transparency 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 personally identifiable information processing and transparency policy and procedures include assessment or audit findings, 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.

References 1