PL-4 Rules of Behavior
Sets the behavioural expectations that apply to supplier, integrator and provider personnel using organizational systems.
3
artefacts
0
held by a system
1
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
- Acknowledgement records for supplier staff · HR system / LMS
governing documentDocuments that govern the control
- Rules applying to external personnel · Document repository
- Reissue after change · Document repository
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
- rules acknowledged by employees only
- supplier staff never see the rules
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-7 Concept of Operations