EvidenceSheet
PCI DSS v4.0.1 · Req 4: Protect Cardholder Data in Transit

4.1.2 Requirement 4 roles and responsibilities assigned

Duties for carrying out each Requirement 4 activity (for example managing transmission keys and certificates, configuring secure protocols, controlling messaging channels) must be written down, allocated to named roles or people, and understood by those who hold them. Roles may be recorded in the policies themselves or in a separate document such as a RACI matrix, and staff may be asked to acknowledge their assignments. Applicability: applies to every entity in scope, with no special notes. Customized approach objective: daily Requirement 4 work is allocated, and the people who own it answer for its continuous, successful operation.

Source: PCI DSS v4.0.1, 4.1.2. 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 acknowledgements from staff accepting their Requirement 4 duties · Identity provider / directory
  • Interview notes with the certificate owner and network engineer confirming their duties · Identity provider / directory

governing documentDocuments that govern the control

  • RACI or responsibility matrix covering certificate management, protocol configuration and messaging controls · Policy repository / GRC workspace
  • Job descriptions or role charters naming transmission key and certificate custodians · 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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4.1.1 Requirement 4 policies and procedures maintained and communicated · 4.2.1 Strong cryptography safeguards PAN over public networks