# CA-01 Policy and Procedures

NIST SP 800-53 control. Family: CA Security Assessment and Authorization. Function: preventative. Baselines: low, moderate, high, privacy. Mapping licence: CC BY-SA 4.0.

Statement: a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]: 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] assessment, authorization, and monitoring policy that: (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 2. Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls; b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and c. Review and update the current assessment, authorization, and monitoring: 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].
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.

## Patterns that use it (3)
- Critical (1): SP-018 Information Security Management System
- Important (1): SP-004 SOA Publication and Location Pattern
- Standard (1): SP-011 Cloud Computing Pattern

## Clauses by framework (55 frameworks)
- 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
- 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
- iso_42001_2023: A.5.2
- 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
- dnb_good_practice: DNB.1.2
- 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
- nrc_73_54: RG5.71-C-CA
- api_1164: Sec 15
- iaea_nss: Sec 11
- cbest: CBEST.1
- isae_3402: Clause 1, Clause 3
- hitrust_csf: 04.a, 06.c
- iso_27799: 5.1, 18.3
- lloyds_ms: MS8.2
- nhs_dspt: NDG-5.1
- pra_ss1_23: P2.2, P4.1
- solvency_ii: Art.41(1), Art.41(3), DR.258, DR.266
- csa_ccm_v4: AA-01
- csa_aicm: A&A-01
- 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
OSA's mapping for iso_27001_2022 and nist_csf_2 takes NIST's published crosswalk as its base. A clause not marked as OSA's own is in that crosswalk.

## More
- This control as JSON, with guidance and ATT&CK techniques: /api/v1/controls/CA-01
- Clauses only: /api/v1/controls/CA-01?fields=mappings
- Page for people: /controls/ca-01/
- Found an error? Open an issue at https://github.com/opensecurityarchitecture/osa-data/issues with the id, what OSA says and what the source says.