PL-1 PL · Planning

Policy and Procedures

✓ LOW ✓ MODERATE ✓ HIGH
1 Overlay 3 Related Controls
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Requirements NIST SOURCE

    1. 1.[one of: organization-level; mission/business process-level; system-level] planning policy that:
      1. (a)Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      2. (b)Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
    2. 2.Procedures to facilitate the implementation of the planning policy and the associated planning controls;
    1. 1.Policy [frequency] and following [events] ; and
    2. 2.Procedures [frequency] and following [events].
Discussion (NIST 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 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.

Implementation Guidance

Engineering Interpretation

Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.

No engineering interpretation has been authored for PL-1 yet. This section is architected to receive it — see the Requirements and Assessment sections above for the authoritative NIST source content in the meantime.

Assessment

NIST SP 800-53A REV 5.2.0

Assessment Objectives

  1. personnel or roles to whom the planning policy is to be disseminated is/are defined;
  2. personnel or roles to whom the planning procedures are to be disseminated is/are defined;
  3. one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level};
  4. an official to manage the planning policy and procedures is defined;
  5. the frequency with which the current planning policy is reviewed and updated is defined;
  6. events that would require the current planning policy to be reviewed and updated are defined;
  7. the frequency with which the current planning procedures are reviewed and updated is defined;
  8. events that would require procedures to be reviewed and updated are defined;
  9. a planning policy is developed and documented.
  10. the planning policy is disseminated to <PL-01_ODP[01] personnel or roles>;
  11. planning procedures to facilitate the implementation of the planning policy and associated planning controls are developed and documented;
  12. the planning procedures are disseminated to <PL-01_ODP[02] personnel or roles>;
  13. the <PL-01_ODP[03] SELECTED PARAMETER VALUES> planning policy addresses purpose;
  14. the <PL-01_ODP[03] SELECTED PARAMETER VALUES> planning policy addresses scope;
  15. the <PL-01_ODP[03] SELECTED PARAMETER VALUES> planning policy addresses roles;
  16. the <PL-01_ODP[03] SELECTED PARAMETER VALUES> planning policy addresses responsibilities;
  17. the <PL-01_ODP[03] SELECTED PARAMETER VALUES> planning policy addresses management commitment;
  18. the <PL-01_ODP[03] SELECTED PARAMETER VALUES> planning policy addresses coordination among organizational entities;
  19. the <PL-01_ODP[03] SELECTED PARAMETER VALUES> planning policy addresses compliance;
  20. the <PL-01_ODP[03] SELECTED PARAMETER VALUES> planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;
  21. the <PL-01_ODP[04] official> is designated to manage the development, documentation, and dissemination of the planning policy and procedures;
  22. the current planning policy is reviewed and updated <PL-01_ODP[05] frequency>;
  23. the current planning policy is reviewed and updated following <PL-01_ODP[06] events>;
  24. the current planning procedures are reviewed and updated <PL-01_ODP[07] frequency>;
  25. the current planning procedures are reviewed and updated following <PL-01_ODP[08] events>.

Examine

[SELECT FROM: Planning policy and procedures; system security plan; privacy plan; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with planning responsibilities; organizational personnel with information security and privacy responsibilities].

Overlays

OT/ICS Overlay SP 800-82r3

NIST SP 800-82r3 Appendix F, Table 22. Blank baseline means the control/control enhancement is not selected in that initial OT baseline.

LOW

  • Base control: Included (matches standard baseline)

MODERATE

  • Base control: Included (matches standard baseline)

HIGH

  • Base control: Included (matches standard baseline)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for PL-1. This section is architected to display, per product: STIG ID, Finding ID, Severity, Title, Description, Check, Fix, CCI, and NIST control mapping — but nothing is populated here until a real DISA STIG/CCI dataset is ingested.

Learn more about STIG/CCI integration →

Evidence

Potential Evidence — Derived

Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.

Policy

  • Planning policy and procedures
  • system security plan
  • privacy plan

Other Records

  • other relevant documents or records