PL-4 Rules of Behavior
Establish and provide rules describing user responsibilities; receive signed acknowledgement.
6
artefacts
0
held by a system
2
at each review
hard
to go live
Document repository
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
- Rules of behaviour signed by users including privileged personnel · Identity provider / directory
- Security planning meeting minutes with stakeholder attendance · HR system / LMS
governing documentDocuments that govern the control
- Control implementation statement for PL-4 citing the system mission and inheritance from common controls · Document repository
- Information security architecture diagrams current within twelve months · Policy repository / GRC workspace
- Concept of operations describing system mission and data flows · Document repository
- Privacy and security integration documentation · Policy repository / GRC workspace
First move
This control is evidenced by people and documents, not systems. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date. Do not try to automate it.
Common gaps auditors find
- Privacy considerations addressed separately from security planning
- System security plan not refreshed after material system changes
- Rules of behaviour acknowledged once but not refreshed annually
- Architecture diagrams missing third party and SaaS dependencies
Do this for your whole sheet
Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.
Build my evidence sheetPL-2 System Security and Privacy Plans · PL-4(1) Rules of Behavior | Social Media and External Site/application Usage Restrictions. Include in the rules of behavior, restrictions on: (a) Use of social media, social networking sites, and external sites/applications; (b) Posting organizational information