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last sync: 2024-Apr-22 16:32:55 UTC

Enforce rules of behavior and access agreements | Regulatory Compliance - Operational

Azure BuiltIn Policy definition

Source Azure Portal
Display name Enforce rules of behavior and access agreements
Id 509552f5-6528-3540-7959-fbeae4832533
Version 1.1.0
Details on versioning
Category Regulatory Compliance
Microsoft Learn
Description CMA_0248 - Enforce rules of behavior and access agreements
Additional metadata Name/Id: CMA_0248 / CMA_0248
Category: Operational
Title: Enforce rules of behavior and access agreements
Ownership: Customer
Description: Microsoft recommends that your organization require and receive signed acknowledgements from users indicating they have read, understand, and agree to abide by your organization's rules, responsibilities, and expected behavior prior to authorizing their access to Azure. Your organization should consider creating and maintaining Personnel Security policies and standard operating procedures that document user responsibilities and expected behaviors regarding your organization's use of Azure. Microsoft recommends that your organization explicitly state and enforce the Do's and Don't of access privileges in the access agreements. Such agreements are recommended to include but not limited to administrative access, physical access, misuse of access and identities. While defining rules, it is recommended for your organization to include explicit restrictions on the use of social media/networking sites and posting sensitive/personal information on public websites.
Requirements: The customer is responsible for implementing this recommendation.
Mode All
Type BuiltIn
Preview False
Deprecated False
Effect Default
Manual
Allowed
Manual, Disabled
RBAC role(s) none
Rule aliases none
Rule resource types IF (1)
Microsoft.Resources/subscriptions
Compliance
The following 36 compliance controls are associated with this Policy definition 'Enforce rules of behavior and access agreements' (509552f5-6528-3540-7959-fbeae4832533)
Control Domain Control Name MetadataId Category Title Owner Requirements Description Info Policy#
FedRAMP_High_R4 PL-4 FedRAMP_High_R4_PL-4 FedRAMP High PL-4 Planning Rules Of Behavior Shared n/a The organization: a. Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage; b. Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system; c. Reviews and updates the rules of behavior [Assignment: organization-defined frequency]; and d. Requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated. Supplemental Guidance: This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior. Related controls: AC-2, AC-6, AC-8, AC-9, AC-17, AC-18, AC-19, AC-20, AT-2, AT-3, CM-11, IA-2, IA-4, IA-5, MP-7, PS-6, PS-8, SA-5. References: NIST Special Publication 800-18. link 9
FedRAMP_High_R4 PS-6 FedRAMP_High_R4_PS-6 FedRAMP High PS-6 Personnel Security Access Agreements Shared n/a The organization: a. Develops and documents access agreements for organizational information systems; b. Reviews and updates the access agreements [Assignment: organization-defined frequency]; and c. Ensures that individuals requiring access to organizational information and information systems: 1. Sign appropriate access agreements prior to being granted access; and 2. Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or [Assignment: organization-defined frequency]. Supplemental Guidance: Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy. Related control: PL-4, PS-2, PS-3, PS-4, PS-8. References: None. link 5
FedRAMP_Moderate_R4 PL-4 FedRAMP_Moderate_R4_PL-4 FedRAMP Moderate PL-4 Planning Rules Of Behavior Shared n/a The organization: a. Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage; b. Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system; c. Reviews and updates the rules of behavior [Assignment: organization-defined frequency]; and d. Requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated. Supplemental Guidance: This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior. Related controls: AC-2, AC-6, AC-8, AC-9, AC-17, AC-18, AC-19, AC-20, AT-2, AT-3, CM-11, IA-2, IA-4, IA-5, MP-7, PS-6, PS-8, SA-5. References: NIST Special Publication 800-18. link 9
FedRAMP_Moderate_R4 PS-6 FedRAMP_Moderate_R4_PS-6 FedRAMP Moderate PS-6 Personnel Security Access Agreements Shared n/a The organization: a. Develops and documents access agreements for organizational information systems; b. Reviews and updates the access agreements [Assignment: organization-defined frequency]; and c. Ensures that individuals requiring access to organizational information and information systems: 1. Sign appropriate access agreements prior to being granted access; and 2. Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or [Assignment: organization-defined frequency]. Supplemental Guidance: Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy. Related control: PL-4, PS-2, PS-3, PS-4, PS-8. References: None. link 5
hipaa 0104.02a1Organizational.12-02.a hipaa-0104.02a1Organizational.12-02.a 0104.02a1Organizational.12-02.a 01 Information Protection Program 0104.02a1Organizational.12-02.a 02.01 Prior to Employment Shared n/a User security roles and responsibilities are clearly defined and communicated. 14
hipaa 0109.02d1Organizational.4-02.d hipaa-0109.02d1Organizational.4-02.d 0109.02d1Organizational.4-02.d 01 Information Protection Program 0109.02d1Organizational.4-02.d 02.03 During Employment Shared n/a Management ensures users are (i) briefed on their security role(s)/responsibilities, conform with the terms and conditions of employment prior to obtaining access to the organization’s information systems; (ii) provided with guidelines regarding the security expectations of their roles; (iii) motivated to comply with security policies; and, (iv) continue to have the appropriate skills and qualifications for their role(s). 20
hipaa 0112.02d2Organizational.3-02.d hipaa-0112.02d2Organizational.3-02.d 0112.02d2Organizational.3-02.d 01 Information Protection Program 0112.02d2Organizational.3-02.d 02.03 During Employment Shared n/a Acceptable usage is defined and usage is explicitly authorized. 7
hipaa 0901.09s1Organizational.1-09.s hipaa-0901.09s1Organizational.1-09.s 0901.09s1Organizational.1-09.s 09 Transmission Protection 0901.09s1Organizational.1-09.s 09.08 Exchange of Information Shared n/a The organization formally addresses multiple safeguards before allowing the use of information systems for information exchange. 31
hipaa 1008.01d2System.3-01.d hipaa-1008.01d2System.3-01.d 1008.01d2System.3-01.d 10 Password Management 1008.01d2System.3-01.d 01.02 Authorized Access to Information Systems Shared n/a Users sign a statement acknowledging their responsibility to keep passwords confidential. 15
hipaa 1109.01b1System.479-01.b hipaa-1109.01b1System.479-01.b 1109.01b1System.479-01.b 11 Access Control 1109.01b1System.479-01.b 01.02 Authorized Access to Information Systems Shared n/a User registration and deregistration, at a minimum: (i) communicates relevant policies to users and require acknowledgement (e.g., signed or captured electronically); (ii) checks authorization and minimum level of access necessary prior to granting access; (iii) ensures access is appropriate to the business needs (consistent with sensitivity/risk and does not violate segregation of duties requirements); (iv) addresses termination and transfer; (v) ensures default accounts are removed and/or renamed; (vi) removes or blocks critical access rights of users who have changed roles or jobs; and, (vii) automatically removes or disables inactive accounts. 24
hipaa 1110.01b1System.5-01.b hipaa-1110.01b1System.5-01.b 1110.01b1System.5-01.b 11 Access Control 1110.01b1System.5-01.b 01.02 Authorized Access to Information Systems Shared n/a Users are given a written statement of their access rights, which they are required to sign stating they understand the conditions of access. Guest/anonymous, shared/group, emergency and temporary accounts are specifically authorized and use monitored. 11
hipaa 1128.01q2System.5-01.q hipaa-1128.01q2System.5-01.q 1128.01q2System.5-01.q 11 Access Control 1128.01q2System.5-01.q 01.05 Operating System Access Control Shared n/a Help desk support requires user identification for any transaction that has information security implications. 3
hipaa 1137.06e1Organizational.1-06.e hipaa-1137.06e1Organizational.1-06.e 1137.06e1Organizational.1-06.e 11 Access Control 1137.06e1Organizational.1-06.e 06.01 Compliance with Legal Requirements Shared n/a Acceptable use agreements are signed by all employees before being allowed access to information assets. 8
hipaa 1201.06e1Organizational.2-06.e hipaa-1201.06e1Organizational.2-06.e 1201.06e1Organizational.2-06.e 12 Audit Logging & Monitoring 1201.06e1Organizational.2-06.e 06.01 Compliance with Legal Requirements Shared n/a The organization provides notice that the employee's actions may be monitored, and that the employee consents to such monitoring. 12
hipaa 1301.02e1Organizational.12-02.e hipaa-1301.02e1Organizational.12-02.e 1301.02e1Organizational.12-02.e 13 Education, Training and Awareness 1301.02e1Organizational.12-02.e 02.03 During Employment Shared n/a Employees and contractors receive documented initial (as part of their onboarding within 60 days of hire), annual, and ongoing training on their roles related to security and privacy. 17
hipaa 1302.02e2Organizational.134-02.e hipaa-1302.02e2Organizational.134-02.e 1302.02e2Organizational.134-02.e 13 Education, Training and Awareness 1302.02e2Organizational.134-02.e 02.03 During Employment Shared n/a Dedicated security and privacy awareness training is developed as part of the organization's onboarding program, is documented and tracked, and includes the recognition and reporting of potential indicators of an insider threat. 19
hipaa 1303.02e2Organizational.2-02.e hipaa-1303.02e2Organizational.2-02.e 1303.02e2Organizational.2-02.e 13 Education, Training and Awareness 1303.02e2Organizational.2-02.e 02.03 During Employment Shared n/a Employees sign acceptance/acknowledgement of their security and privacy responsibilities. 8
hipaa 1306.06e1Organizational.5-06.e hipaa-1306.06e1Organizational.5-06.e 1306.06e1Organizational.5-06.e 13 Education, Training and Awareness 1306.06e1Organizational.5-06.e 06.01 Compliance with Legal Requirements Shared n/a Employees and contractors are informed in writing that violations of the security policies will result in sanctions or disciplinary action. 11
hipaa 1307.07c1Organizational.124-07.c hipaa-1307.07c1Organizational.124-07.c 1307.07c1Organizational.124-07.c 13 Education, Training and Awareness 1307.07c1Organizational.124-07.c 07.01 Responsibility for Assets Shared n/a The organization defines rules to describe user responsibilities and acceptable behavior for information system usage, including at a minimum, rules for email, Internet, mobile devices, social media and facility usage. 9
hipaa 1308.09j1Organizational.5-09.j hipaa-1308.09j1Organizational.5-09.j 1308.09j1Organizational.5-09.j 13 Education, Training and Awareness 1308.09j1Organizational.5-09.j 09.04 Protection Against Malicious and Mobile Code Shared n/a The organization prohibits users from installing unauthorized software, including data and software from external networks, and ensures users are made aware and trained on these requirements. 12
ISO27001-2013 A.13.2.4 ISO27001-2013_A.13.2.4 ISO 27001:2013 A.13.2.4 Communications Security Confidentiality or non-disclosure agreements Shared n/a Requirements for confidentiality or non-disclosure agreements reflecting the organization's needs for the protection of information shall be identified, regularly reviewed and documented. link 14
ISO27001-2013 A.15.1.2 ISO27001-2013_A.15.1.2 ISO 27001:2013 A.15.1.2 Supplier Relationships Addressing security within supplier agreement Shared n/a All relevant information security requirements shall be established and agreed with each supplier that may access, process, store, communicate, or provide IT infrastructure components for, the organization's information. link 24
ISO27001-2013 A.7.1.2 ISO27001-2013_A.7.1.2 ISO 27001:2013 A.7.1.2 Human Resources Security Terms and conditions of employment Shared n/a The contractual agreements with employees and contractors shall state their and the organization's responsibilities for information security. link 24
ISO27001-2013 A.7.2.1 ISO27001-2013_A.7.2.1 ISO 27001:2013 A.7.2.1 Human Resources Security Management responsibilities Shared n/a Management shall require all employees and contractors to apply information security in accordance with the established policies and procedures of the organization. link 26
ISO27001-2013 A.8.1.3 ISO27001-2013_A.8.1.3 ISO 27001:2013 A.8.1.3 Asset Management Acceptable use of assets Shared n/a Rules for the acceptable use of information and of assets associated with information processing facilities shall be identified, documented and implemented link 2
ISO27001-2013 C.7.3.a ISO27001-2013_C.7.3.a ISO 27001:2013 C.7.3.a Support Awareness Shared n/a Persons doing work under the organization’s control shall be aware of: a) the information security policy. link 3
ISO27001-2013 C.7.3.b ISO27001-2013_C.7.3.b ISO 27001:2013 C.7.3.b Support Awareness Shared n/a Persons doing work under the organization’s control shall be aware of: b) their contribution to the effectiveness of the information security management system, including the benefits of improved information security performance. link 3
ISO27001-2013 C.7.3.c ISO27001-2013_C.7.3.c ISO 27001:2013 C.7.3.c Support Awareness Shared n/a Persons doing work under the organization’s control shall be aware of: c) the implications of not conforming with the information security management system requirements. link 3
NIST_SP_800-53_R4 PL-4 NIST_SP_800-53_R4_PL-4 NIST SP 800-53 Rev. 4 PL-4 Planning Rules Of Behavior Shared n/a The organization: a. Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage; b. Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system; c. Reviews and updates the rules of behavior [Assignment: organization-defined frequency]; and d. Requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated. Supplemental Guidance: This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior. Related controls: AC-2, AC-6, AC-8, AC-9, AC-17, AC-18, AC-19, AC-20, AT-2, AT-3, CM-11, IA-2, IA-4, IA-5, MP-7, PS-6, PS-8, SA-5. References: NIST Special Publication 800-18. link 9
NIST_SP_800-53_R4 PS-6 NIST_SP_800-53_R4_PS-6 NIST SP 800-53 Rev. 4 PS-6 Personnel Security Access Agreements Shared n/a The organization: a. Develops and documents access agreements for organizational information systems; b. Reviews and updates the access agreements [Assignment: organization-defined frequency]; and c. Ensures that individuals requiring access to organizational information and information systems: 1. Sign appropriate access agreements prior to being granted access; and 2. Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or [Assignment: organization-defined frequency]. Supplemental Guidance: Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy. Related control: PL-4, PS-2, PS-3, PS-4, PS-8. References: None. link 5
NIST_SP_800-53_R5 PL-4 NIST_SP_800-53_R5_PL-4 NIST SP 800-53 Rev. 5 PL-4 Planning Rules of Behavior Shared n/a a. Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy; b. Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system; c. Review and update the rules of behavior [Assignment: organization-defined frequency]; and d. Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge [Selection (OneOrMore): [Assignment: organization-defined frequency] ;when the rules are revised or updated] . link 9
NIST_SP_800-53_R5 PS-6 NIST_SP_800-53_R5_PS-6 NIST SP 800-53 Rev. 5 PS-6 Personnel Security Access Agreements Shared n/a a. Develop and document access agreements for organizational systems; b. Review and update the access agreements [Assignment: organization-defined frequency]; and c. Verify that individuals requiring access to organizational information and systems: 1. Sign appropriate access agreements prior to being granted access; and 2. Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or [Assignment: organization-defined frequency]. link 5
PCI_DSS_v4.0 12.2.1 PCI_DSS_v4.0_12.2.1 PCI DSS v4.0 12.2.1 Requirement 12: Support Information Security with Organizational Policies and Programs Acceptable use policies for end-user technologies are defined and implemented Shared n/a Acceptable use policies for end-user technologies are documented and implemented, including: • Explicit approval by authorized parties. • Acceptable uses of the technology. • List of products approved by the company for employee use, including hardware and software. link 4
SOC_2 CC1.1 SOC_2_CC1.1 SOC 2 Type 2 CC1.1 Control Environment COSO Principle 1 Shared The customer is responsible for implementing this recommendation. Sets the Tone at the Top — The board of directors and management, at all levels, demonstrate through their directives, actions, and behavior the importance of integrity and ethical values to support the functioning of the system of internal control. • Establishes Standards of Conduct — The expectations of the board of directors and senior management concerning integrity and ethical values are defined in the entity’s standards of conduct and understood at all levels of the entity and by outsourced service providers and business partners. • Evaluates Adherence to Standards of Conduct — Processes are in place to evaluate the performance of individuals and teams against the entity’s expected standards of conduct. • Addresses Deviations in a Timely Manner — Deviations from the entity’s expected standards of conduct are identified and remedied in a timely and consistent manner 8
SOC_2 CC1.5 SOC_2_CC1.5 SOC 2 Type 2 CC1.5 Control Environment COSO Principle 5 Shared The customer is responsible for implementing this recommendation. • Enforces Accountability Through Structures, Authorities, and Responsibilities — Management and the board of directors establish the mechanisms to communicate and hold individuals accountable for performance of internal control responsibilities across the entity and implement corrective action as necessary. • Establishes Performance Measures, Incentives, and Rewards — Management and the board of directors establish performance measures, incentives, and other rewards appropriate for responsibilities at all levels of the entity, reflecting appropriate dimensions of performance and expected standards of conduct, and considering the achievement of both short-term and longer-term objectives. • Evaluates Performance Measures, Incentives, and Rewards for Ongoing Relevance — Management and the board of directors align incentives and rewards with the fulfillment of internal control responsibilities in the achievement of objectives. • Considers Excessive Pressures — Management and the board of directors evaluate and adjust pressures associated with the achievement of objectives as they assign responsibilities, develop performance measures, and evaluate performance. • Evaluates Performance and Rewards or Disciplines Individuals — Management and the board of directors evaluate performance of internal control responsibilities, including adherence to standards of conduct and expected levels of competence, and Page 17 TSP Ref. # TRUST SERVICES CRITERIA AND POINTS OF FOCUS provide rewards or exercise disciplinary action, as appropriate 4
SOC_2 CC2.2 SOC_2_CC2.2 SOC 2 Type 2 CC2.2 Communication and Information COSO Principle 14 Shared The customer is responsible for implementing this recommendation. • Communicates Internal Control Information — A process is in place to communicate required information to enable all personnel to understand and carry out their internal control responsibilities. • Communicates With the Board of Directors — Communication exists between management and the board of directors so that both have information needed to fulfill their roles with respect to the entity’s objectives. • Provides Separate Communication Lines — Separate communication channels, such as whistle-blower hotlines, are in place and serve as fail-safe mechanisms to enable anonymous or confidential communication when normal channels are inoperative or ineffective. • Selects Relevant Method of Communication — The method of communication considers the timing, audience, and nature of • Communicates Responsibilities — Entity personnel with responsibility for designing, developing, implementing, operating, maintaining, or monitoring system controls receive communications about their responsibilities, including changes in their responsibilities, and have the information necessary to carry out those responsibilities. • Communicates Information on Reporting Failures, Incidents, Concerns, and Other Matters — Entity personnel are provided with information on how to report systems failures, incidents, concerns, and other complaints to personnel. • Communicates Objectives and Changes to Objectives — The entity communicates its objectives and changes to those objectives to personnel in a timely manner. • Communicates Information to Improve Security Knowledge and Awareness — The entity communicates information to improve security knowledge and awareness and to model appropriate security behaviors to personnel through a security awareness training program 9
Initiatives usage
Initiative DisplayName Initiative Id Initiative Category State Type
FedRAMP High d5264498-16f4-418a-b659-fa7ef418175f Regulatory Compliance GA BuiltIn
FedRAMP Moderate e95f5a9f-57ad-4d03-bb0b-b1d16db93693 Regulatory Compliance GA BuiltIn
HITRUST/HIPAA a169a624-5599-4385-a696-c8d643089fab Regulatory Compliance GA BuiltIn
ISO 27001:2013 89c6cddc-1c73-4ac1-b19c-54d1a15a42f2 Regulatory Compliance GA BuiltIn
NIST SP 800-53 Rev. 4 cf25b9c1-bd23-4eb6-bd2c-f4f3ac644a5f Regulatory Compliance GA BuiltIn
NIST SP 800-53 Rev. 5 179d1daa-458f-4e47-8086-2a68d0d6c38f Regulatory Compliance GA BuiltIn
PCI DSS v4 c676748e-3af9-4e22-bc28-50feed564afb Regulatory Compliance GA BuiltIn
SOC 2 Type 2 4054785f-702b-4a98-9215-009cbd58b141 Regulatory Compliance GA BuiltIn
History
Date/Time (UTC ymd) (i) Change type Change detail
2022-09-27 16:35:32 change Minor (1.0.0 > 1.1.0)
2022-09-13 16:35:29 add 509552f5-6528-3540-7959-fbeae4832533
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