Control statement
- a.Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;
- b.Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
- c.Integrate the authorization processes into an organization-wide risk management program.
Discussion
Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The authorization processes for the organization are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations, organizational assets, individuals, other organizations, and the Nation.
From control text to operational evidence
Use Authorization Process 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 enterprise program governance, accountability, resources, metrics, and organization-wide risk decisions.
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
- program charters and policies
- governance meeting records
- risk and performance metrics
- resource and responsibility assignments
Common failure patterns
- program metrics count activity instead of outcomes
- system-level risks never reach enterprise governance
- responsibilities assigned without authority or resources
- privacy and security managed in separate silos
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?
Assessment objectives and methods
Show the assessment objective
- PM-10a.
- PM-10a.[01]the security state of organizational systems and the environments in which those systems operate are managed through authorization processes;
- PM-10a.[02]the privacy state of organizational systems and the environments in which those systems operate are managed through authorization processes;
- PM-10b.individuals are designated to fulfill specific roles and responsibilities within the organizational risk management process;
- PM-10c.the authorization processes are integrated into an organization-wide risk management program.
Examine
- Information security program plan
- privacy program plan
- procedures addressing management (i.e., documentation, tracking, and reporting) of the authorization process
- assessment, authorization, and monitoring policy
- assessment, authorization, and monitoring procedures
- system authorization documentation
- lists or other documentation about authorization process roles and responsibilities
- risk assessment results relevant to the authorization process and the organization-wide risk management program
- organizational risk management strategy
- other relevant documents or records
Interview
- Organizational personnel with information security and privacy program planning and plan implementation responsibilities
- organizational personnel responsible for management of the authorization process
- organizational personnel with information security and privacy responsibilities
Test
- Organizational processes for authorization
- mechanisms supporting the authorization process
Related controls
These relationships come from the official OSCAL catalog. They indicate useful dependencies or context, not automatic inheritance or equivalence.
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.