EvidenceSheet
PCI DSS v4.0.1 · Req 12: Information Security Policies

12.1.3 Security roles defined and acknowledged by all personnel

The security policy must spell out, without ambiguity, the information security roles and responsibilities that apply to every member of personnel. In addition, all personnel must know those responsibilities and must formally acknowledge them. The guidance notes that unclear roles risk misuse of information assets and inconsistent interaction with security staff. Customized approach objective: every person understands the part they play in safeguarding the entity's cardholder data.

Source: PCI DSS v4.0.1, 12.1.3. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open PCI DSS v4.0.1 in the compliance library.

Version 4.0.1 is the active version; 4.0 has been retired. Appendix A1 applies only to multi-tenant service providers, A2 only to card-present POS POI terminals that still use SSL or early TLS, and A3 only when a payment brand or acquirer requires it. Which requirements apply to you follows your validation type.

4
artefacts
0
held by a system
2
at each review
hard
to go live
Policy repository / GRC workspace
where the evidence lives
teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

none for this control

periodic reviewEvidence produced at each review

  • Signed or electronic acknowledgment records per staff member · HR system / LMS
  • Interview notes from staff in varied roles · Identity provider / directory

governing documentDocuments that govern the control

  • Policy section or RACI defining security roles for all personnel · Policy repository / GRC workspace
  • Role descriptions or job descriptions referencing security duties · Policy repository / GRC workspace

First move

No system holds this evidence for you: it is people and documents. Reminders and routing to the owner still save time. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date.

Common gaps auditors find

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.

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12.1.2 Security policy reviewed annually and updated as needed · 12.1.4 Executive ownership of information security formally assigned