PL-1 — Policy and Procedures

Official NIST control content

Control statement

a.Develop, document, and disseminate to [Organization-defined: organization-defined personnel or roles]:
1. 1.[Organization-defined: pl-01_odp.03] 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;
b.Designate an [Organization-defined: official] to manage the development, documentation, and dissemination of the planning policy and procedures; and
c.Review and update the current planning:
1. 1.Policy [Organization-defined: frequency] and following [Organization-defined: events] ; and
2. 2.Procedures [Organization-defined: frequency] and following [Organization-defined: events].

Official NIST discussion

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.

Official OSCAL parameters

Organization-defined parameters

These values must be resolved through the organization’s tailoring and governance process. Bracketed parameter references in the control text identify where a decision is required.

organization-defined personnel or roles

personnel or rolespersonnel or roles to whom the planning policy is to be disseminated is/are defined;

personnel or rolespersonnel or roles to whom the planning procedures are to be disseminated is/are defined;

pl-01_odp.03

officialan official to manage the planning policy and procedures is defined;

frequencythe frequency with which the current planning policy is reviewed and updated is defined;

eventsevents that would require the current planning policy to be reviewed and updated are defined;

frequencythe frequency with which the current planning procedures are reviewed and updated is defined;

eventsevents that would require procedures to be reviewed and updated are defined;

Original Bare Metal Cyber perspective

From control text to operational evidence

Use Policy and Procedures as a testable risk decision. Translate the official statement into accountable people, repeatable processes, configured technology, and evidence that demonstrates the outcome over time. In this family, pay particular attention to security and privacy planning, architecture, rules of behavior, and lifecycle alignment.

Implementation workflow

Define the control boundary, responsible owner, inherited portions, and systems or processes in scope.
Resolve each organization-defined parameter before declaring the control implemented.
Document how the implementation satisfies every clause of the official control statement.
Collect evidence as a normal byproduct of operation rather than only before an assessment.
Review exceptions, changes, and monitoring results on a risk-based cadence.

Evidence examples

system security and privacy plans
architecture and data-flow diagrams
rules-of-behavior acknowledgments
plan review and approval records

Common failure patterns

plans copied from templates without system specificity
diagrams that do not match deployed services
inherited controls claimed without provider evidence
plans updated only before assessment

Questions practitioners should ask

What risk decision is this control intended to support in this system?
Which parts are implemented locally, inherited, shared, or not applicable—and what evidence supports that decision?
Do the documented narrative, deployed configuration, operating process, and collected evidence agree?
What event or threshold requires the implementation to be reviewed or changed?

Official NIST SP 800-53A content

Assessment objectives and methods

Show the assessment objective

PL-01a.
1. PL-01a.[01]a planning policy is developed and documented.
2. PL-01a.[02]the planning policy is disseminated to [Organization-defined: personnel or roles];
3. PL-01a.[03]planning procedures to facilitate the implementation of the planning policy and associated planning controls are developed and documented;
4. PL-01a.[04]the planning procedures are disseminated to [Organization-defined: personnel or roles];
5. PL-01a.01
  1. PL-01a.01(a)
    1. PL-01a.01(a)[01]the [Organization-defined: pl-01_odp.03] planning policy addresses purpose;
    2. PL-01a.01(a)[02]the [Organization-defined: pl-01_odp.03] planning policy addresses scope;
    3. PL-01a.01(a)[03]the [Organization-defined: pl-01_odp.03] planning policy addresses roles;
    4. PL-01a.01(a)[04]the [Organization-defined: pl-01_odp.03] planning policy addresses responsibilities;
    5. PL-01a.01(a)[05]the [Organization-defined: pl-01_odp.03] planning policy addresses management commitment;
    6. PL-01a.01(a)[06]the [Organization-defined: pl-01_odp.03] planning policy addresses coordination among organizational entities;
    7. PL-01a.01(a)[07]the [Organization-defined: pl-01_odp.03] planning policy addresses compliance;
  2. PL-01a.01(b)the [Organization-defined: pl-01_odp.03] planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;
PL-01b.the [Organization-defined: official] is designated to manage the development, documentation, and dissemination of the planning policy and procedures;
PL-01c.
1. PL-01c.01
  1. PL-01c.01[01]the current planning policy is reviewed and updated [Organization-defined: frequency];
  2. PL-01c.01[02]the current planning policy is reviewed and updated following [Organization-defined: events];
2. PL-01c.02
  1. PL-01c.02[01]the current planning procedures are reviewed and updated [Organization-defined: frequency];
  2. PL-01c.02[02]the current planning procedures are reviewed and updated following [Organization-defined: events].

Examine

Planning policy and procedures
system security plan
privacy plan
other relevant documents or records

Interview

Organizational personnel with planning responsibilities
organizational personnel with information security and privacy responsibilities

Official relationships

Related controls

These relationships come from the official OSCAL catalog. They indicate useful dependencies or context, not automatic inheritance or equivalence.

Source record

Authoritative sources

Bare Metal Cyber is an independent educational publisher and is not affiliated with or endorsed by NIST. Official control requirements and interpretations remain with NIST and the responsible authorizing organization.