PL-1: Policy and Procedures

Control Family:


CSF v1.1 References:


  • Low
    • PL-1
  • Moderate
    • PL-1
  • High
    • PL-1
  • Privacy
    • PL-1

Previous Version:

Control Statement

  1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
    1. [Assignment (one or more): organization-level, mission/business process-level, system-level] planning policy that:
      1. Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      2. 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;
  2. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the planning policy and procedures; and
  3. Review and update the current planning:
    1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
    2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].

Supplemental Guidance

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 or privacy incidents, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.