4.1.2 Roles and responsibilities for performing activities in Requirement 4 are documented, assigned, and understood
Roles and responsibilities for performing activities in Requirement 4 are documented, assigned, and understood.
4
artefacts
1
held by a system
3
at each review
moderate
to go live
Identity provider / directory
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
- Documented descriptions of the roles responsible for Requirement 4 activities, covering certificate management, protocol configuration and inventory of PAN transmissions · Identity provider / directory
periodic reviewEvidence produced at each review
- Assignment records naming the individuals or teams holding each role · Identity provider / directory
- Interview confirmation that the assigned personnel understand their day to day transmission security responsibilities · Policy repository / GRC workspace
- Evidence of continuity arrangements, such as a named deputy for certificate expiry response · Key management / PKI
governing documentDocuments that govern the control
none for this control
First move
Start with the 1 of 4 artefacts that already live in a system (Identity provider / directory); keep the periodic reviews but log each one as a dated record with a named reviewer.
Common gaps auditors find
- Certificate ownership assigned to whoever created the certificate, so it lapses when they change roles
- Responsibility documented at team level with no named accountable individual, so expiries fall between teams
- Cloud and third party terminated transmissions have no assigned owner at all
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 sheet4.1.1 All security policies and operational procedures that are identified in Requirement 4 are: • Documented. • Kept up to date. • In use. • Known to all affected parties · 4.2.1 Strong cryptography and security protocols are implemented as follows to safeguard PAN during transmission over open, public networks: • Only trusted keys and certificates are accepted. • Certificates used to safeguard PAN during transmission