{"data":{"id":"CA-01","name":"Policy and Procedures","family":"CA","family_name":"Security Assessment and Authorization","withdrawn":false,"description":"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:\n1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] assessment, authorization, and monitoring policy that:\n(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\n(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and\n2. Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;\nb. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and\nc. Review and update the current assessment, authorization, and monitoring:\n1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and\n2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","supplemental_guidance":"Assessment, authorization, and monitoring policy and procedures address the controls in the CA family that are 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 the development of assessment, authorization, and monitoring policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- 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 or 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 assessment, authorization, and monitoring policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","enhancements":[],"baseline_low":true,"baseline_moderate":true,"baseline_high":true,"nist_800_53":{"rev5":{"id":"CA-01","name":"Policy and Procedures","description":"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:\n1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] assessment, authorization, and monitoring policy that:\n(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\n(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and\n2. Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;\nb. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and\nc. Review and update the current assessment, authorization, and monitoring:\n1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and\n2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","discussion":"Assessment, authorization, and monitoring policy and procedures address the controls in the CA family that are 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 the development of assessment, authorization, and monitoring policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- 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 or 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 assessment, authorization, and monitoring policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","related_controls":["PM-09","PS-08","SI-12"],"baseline_low":true,"baseline_moderate":true,"baseline_high":true,"baseline_privacy":true,"new_in_rev5":false,"changes_from_rev4":"Title changed from 'Security Assessment and Authorization Policies and Procedures' Requires the selection (one or more) of organization-level; mission/business process-level; system-level assessment, authorization, and monitoring policies Adds text requiring consistency with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines Requires the designation of a specific official to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures New parameters include need to update policy and procedures after specified events in additional to specified frequency Discussion amplifies the need for policy and procedures for risk management, and to help provide security and privacy assurance"}},"compliance_mappings":{"iso_27001_2022":["5.2","5.3","7.5","9.2","9.3","A.5.1","A.5.2","A.5.4","A.5.31","A.5.36","A.5.37"],"iso_27002_2022":["5.1"],"cobit_2019":["MEA04"],"pci_dss_v4":["11.1","12.1"],"nist_csf_2":["GV.OC-03","GV.OV-01","GV.PO-01","GV.PO-02","GV.SC-03","ID.IM-01","ID.IM-02","ID.IM-03"],"cis_controls_v8":[],"soc2_tsc":["CC1.2-POF1","CC1.4-POF1","CC2.2-POF1","CC2.2-POF7","CC4.1","CC5.3","CC5.3-POF1","CC5.3-POF6","CC6.1-POF2","CC6.1-POF9","CC7.2-POF1","P1.1-POF5"],"finos_ccc":[],"iso_42001_2023":["A.5.2"],"iec_62443":[],"asd_e8":[],"nis2":[],"apra_cps_234":[],"mas_trm":[],"pra_op_resilience":[],"bsi_grundschutz":[],"anssi":["Hygiene.2","Hygiene.36","RGS.1.3","SecNumCloud.6.1","SecNumCloud.19.1"],"osfi_b13":["B-13.1.3"],"finma_circular":["IV.A(23)","IV.A(24)","IV.D(75)"],"gdpr":["Art.24(1)","Art.32(1)(d)","Art.32(2)"],"dora":["Art.5(1)","Art.6(1)","Art.24(1)"],"bio2":["5.1"],"rbi_csf":["Annex1.18","ITGRCA.22","ITGRCA.30"],"fisc":["FISC.O7"],"lgpd_bcb":["BCB.Art.2","LGPD.Art.46","LGPD.Art.50"],"hkma_tme1":["TME1.2.5"],"mlps_2":[],"dnb_good_practice":["DNB.1.2"],"cra":[],"swift_cscf":[],"cbuae":["CR-14"],"nca_ecc":["1-3","1-8"],"qatar_nia":["GV"],"sama_csf":["1.2"],"uae_ia":["T3"],"bog_cisd":["CISD-COMP","CISD-II","CISD-ISMS","CISD-IV"],"bom_ctrm":["1.5","5.4"],"cbe_csf":["GOV-3"],"cbn_csf":["Part6.2"],"popia":["s19"],"sa_js2":["JS2-9"],"bcbs_239":["Principle 1"],"bot_cyber":["Ch1.3","Ch6.1"],"cpmi_pfmi":["PFMI.P2"],"eba_ict":["3.2.1","3.3.1","3.4.1"],"ffiec_is":["Appendix A","II.C.1","IV.A"],"hipaa_sr":["§164.308(a)(8)","§164.316(a)","§164.316(b)(1)"],"iosco_cyber":["GOV-1"],"nydfs_500":["500.3"],"cmmc_2":["CA"],"nerc_cip":[],"nrc_73_54":["RG5.71-C-CA"],"tsa_psd":[],"ieee_1686":[],"ferc_cip":[],"doe_c2m2":[],"api_1164":["Sec 15"],"awia":[],"iaea_nss":["Sec 11"],"pci_pts":[],"fips_140":[],"cbest":["CBEST.1"],"tiber_eu":[],"pci_hsm":[],"common_criteria":[],"isae_3402":["Clause 1","Clause 3"],"fca_sysc_13":[],"fda_21_cfr_11":[],"fda_cyber":[],"hitrust_csf":["04.a","06.c"],"iso_27799":["5.1","18.3"],"lloyds_ms":["MS8.2"],"naic_ds":[],"nhs_dspt":["NDG-5.1"],"pra_ss1_23":["P2.2","P4.1"],"solvency_ii":["Art.41(1)","Art.41(3)","DR.258","DR.266"],"owasp_masvs_v2":[],"csa_ccm_v4":["AA-01"],"csa_aicm":["A&A-01"],"ccss_v9":[],"mica":["Art.34(5)","Art.54(1)","Art.62(1)","Art.62(7)","Art.111(1)"],"basel_sco60":["SCO60.3","SCO60.50","SCO60.60","SCO60.74"],"bssc":["GSP-10","KMS-01","NOS-01","TIS-01"],"sec_custody_digital":["SEC-CD-01","SEC-CD-14","SEC-CD-17","SEC-CD-19"],"dpdpa":[]},"attack_techniques":[],"metadata":{"last_reviewed":"2026-10-03","review_notes":"2026-10-03: iso_27001_2022 5.2, 5.3, 7.5, 9.2, 9.3, A.5.2, A.5.31, A.5.36, A.5.37, A.5.4 added from NIST's SP 800-53 Rev 5 to ISO/IEC 27001:2022 crosswalk (OLIR entry 155), which OSA's mapping now takes as its base. 2026-10-03: nist_csf_2 GV.OC-03, GV.OV-01, GV.PO-01, GV.PO-02, GV.SC-03, ID.IM-01, ID.IM-02, ID.IM-03 added from NIST's CSF 2.0 to SP 800-53 Rev 5.2.0 crosswalk (OLIR entry 186), which OSA's mapping now takes as its base.","mapping_status":"complete"},"function":"preventative","used_by_patterns":["SP-004","SP-011","SP-018"]}}