12.1.3 Information security roles and responsibilities defined and acknowledged
The information security policy clearly defines information security roles and responsibilities for all personnel, and all personnel are aware of and acknowledge their information security responsibilities, so that they
5
artefacts
0
held by a system
3
at each review
hard
to go live
HR system / LMS
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 system-recorded acknowledgements of information security responsibilities · HR system / LMS
- Interview notes with personnel in various roles confirming they understand their responsibilities · Identity provider / directory
- Onboarding process evidence that acknowledgement is captured for new starters · HR system / LMS
governing documentDocuments that govern the control
- The information security policy sections defining roles and responsibilities for all personnel · Policy repository / GRC workspace
- Coverage report showing acknowledgement across the whole personnel population, including contractors · HR system / LMS
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
- Policy defines responsibilities for security staff only, not for all personnel
- Acknowledgement captured at hire and never refreshed
- Contractors and third-party personnel excluded from the acknowledgement population
- Acknowledgement recorded but personnel interviews show no understanding
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 sheet12.1.2 The information security policy is: • Reviewed at least once every 12 months. • Updated as needed to reflect changes to business objectives or risks to the environment · 12.1.4 CISO or equivalent responsibility