PL-4 Rules of behavior
Requires rules of behaviour describing user responsibilities and expected conduct for system, security and privacy matters to be established and given to individuals needing access, documented acknowledgement to be obtai
4
artefacts
0
held by a system
3
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
- Signed or recorded acknowledgements dated before access was granted · HR system / LMS
- Review and update history at the defined frequency · Document repository
- Re-acknowledgement records following an update · HR system / LMS
governing documentDocuments that govern the control
- Current rules of behaviour document with version and approval date · 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
- Access granted first and acknowledgement chased afterwards
- Rules updated without any re-acknowledgement, so users agreed to a superseded version
- Contractors and privileged third parties never receive 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. Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and Review and update the