PL-1—Policy and Procedures
>Control Description
Develop, document, and disseminate to ⚙organization-defined personnel or roles: (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
[Selection (one or more): Organization-level; Mission/business process-level; System-level] planning policy that:
Procedures to facilitate the implementation of the planning policy and the associated planning controls;
Designate an ⚙organization-defined official to manage the development, documentation, and dissemination of the planning policy and procedures; and
Review and update the current planning:
Policy ⚙organization-defined frequency and following ⚙organization-defined events; and
Procedures ⚙organization-defined frequency and following ⚙organization-defined events.
>DoD Impact Level Requirements
FedRAMP Parameter Values
PL-1 (c) (1) [at least annually] PL-1 (c) (2) [at least annually] [significant changes]
>Discussion
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.
>Related Controls
>Assessment Interview Topics
Questions assessors commonly ask
Process & Governance:
- •Who is designated as the official responsible for system planning policies and procedures?
- •How does the organization coordinate security and privacy planning across different organizational levels?
- •What is the review frequency for planning policies, and what events trigger updates?
- •How are planning procedures disseminated to system owners, authorizing officials, and other stakeholders?
- •What governance exists for ensuring planning policies remain aligned with organizational mission and risk tolerance?
Technical Implementation:
- •What systems or tools are used to develop, maintain, and disseminate planning policies?
- •How are planning policy documents version-controlled and distributed?
- •What collaboration platforms support planning policy development?
Evidence & Documentation:
- •Provide the current security planning policy document with version history.
- •Provide documentation showing the designated official responsible for planning policies.
- •Provide evidence of policy review and updates within the required frequency.
- •Provide records showing dissemination of planning procedures to relevant stakeholders.
- •Provide documentation of coordination between security, privacy, and planning functions.
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