last sync: 2024-Apr-24 17:46:58 UTC

Update information security policies | Regulatory Compliance - Operational

Azure BuiltIn Policy definition

Source Azure Portal
Display name Update information security policies
Id 5226dee6-3420-711b-4709-8e675ebd828f
Version 1.1.0
Details on versioning
Category Regulatory Compliance
Microsoft Learn
Description CMA_0518 - Update information security policies
Additional metadata Name/Id: CMA_0518 / CMA_0518
Category: Operational
Title: Update information security policies
Ownership: Customer
Description: Microsoft recommends that your organization regularly review and update your Information Security policies and procedures at an organizationally defined frequency, or annually if your organization has not defined a frequency. Your organization may also review these policies after the occurrence of a serious security incident. Your organization should consider creating and maintaining Information Security policies and standard operating procedures and update them when significant changes occur to ensure their continued suitability and effectiveness. Your organization may establish a process to notify clients when material changes are made to security/privacy policies that have a direct impact on content assets.
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 46 compliance controls are associated with this Policy definition 'Update information security policies' (5226dee6-3420-711b-4709-8e675ebd828f)
Control Domain Control Name MetadataId Category Title Owner Requirements Description Info Policy#
FedRAMP_High_R4 AT-1 FedRAMP_High_R4_AT-1 FedRAMP High AT-1 Awareness And Training Security Awareness And Training Policy Andprocedures Shared n/a The organization: a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and b. Reviews and updates the current: 1. Security awareness and training policy [Assignment: organization-defined frequency]; and 2. Security awareness and training procedures [Assignment: organization-defined frequency]. Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9. Control Enhancements: None. References: NIST Special Publications 800-12, 800-16, 800-50, 800-100. link 2
FedRAMP_High_R4 AU-1 FedRAMP_High_R4_AU-1 FedRAMP High AU-1 Audit And Accountability Audit And Accountability Policy And Procedures Shared n/a The organization: a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and b. Reviews and updates the current: 1. Audit and accountability policy [Assignment: organization-defined frequency]; and 2. Audit and accountability procedures [Assignment: organization-defined frequency]. Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9. Control Enhancements: None. References: NIST Special Publications 800-12, 800-100. link 4
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_Moderate_R4 AT-1 FedRAMP_Moderate_R4_AT-1 FedRAMP Moderate AT-1 Awareness And Training Security Awareness And Training Policy And Procedures Shared n/a The organization: a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and b. Reviews and updates the current: 1. Security awareness and training policy [Assignment: organization-defined frequency]; and 2. Security awareness and training procedures [Assignment: organization-defined frequency]. Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9. Control Enhancements: None. References: NIST Special Publications 800-12, 800-16, 800-50, 800-100. link 2
FedRAMP_Moderate_R4 AU-1 FedRAMP_Moderate_R4_AU-1 FedRAMP Moderate AU-1 Audit And Accountability Audit And Accountability Policy And Procedures Shared n/a The organization: a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and b. Reviews and updates the current: 1. Audit and accountability policy [Assignment: organization-defined frequency]; and 2. Audit and accountability procedures [Assignment: organization-defined frequency]. Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9. Control Enhancements: None. References: NIST Special Publications 800-12, 800-100. link 4
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
hipaa 0101.00a1Organizational.123-00.a hipaa-0101.00a1Organizational.123-00.a 0101.00a1Organizational.123-00.a 01 Information Protection Program 0101.00a1Organizational.123-00.a 0.01 Information Security Management Program Shared n/a The organization has a formal information protection program based on an accepted industry framework that is reviewed and updated as needed. 5
hipaa 0102.00a2Organizational.123-00.a hipaa-0102.00a2Organizational.123-00.a 0102.00a2Organizational.123-00.a 01 Information Protection Program 0102.00a2Organizational.123-00.a 0.01 Information Security Management Program Shared n/a The information protection program is formally documented and actively monitored, reviewed, and updated to ensure program objectives continue to be met. 3
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 0113.04a1Organizational.123-04.a hipaa-0113.04a1Organizational.123-04.a 0113.04a1Organizational.123-04.a 01 Information Protection Program 0113.04a1Organizational.123-04.a 04.01 Information Security Policy Shared n/a Information security objectives, approach, scope, importance, goals, and principles for the organization’s security program are formally identified, communicated throughout the organization to users in a form that is relevant, accessible, and understandable to the intended reader; and supported by a controls framework that considers legislative, regulatory, contractual requirements, and other policy-related requirements. 3
hipaa 0114.04b1Organizational.1-04.b hipaa-0114.04b1Organizational.1-04.b 0114.04b1Organizational.1-04.b 01 Information Protection Program 0114.04b1Organizational.1-04.b 04.01 Information Security Policy Shared n/a The security policies are regularly reviewed and updated to ensure they reflect leading practices (e.g., for systems and services development and acquisition), and are communicated throughout the organization. 9
hipaa 0115.04b2Organizational.123-04.b hipaa-0115.04b2Organizational.123-04.b 0115.04b2Organizational.123-04.b 01 Information Protection Program 0115.04b2Organizational.123-04.b 04.01 Information Security Policy Shared n/a The owner of the security policies has management approval and assigned responsibility to develop, review, update (based on specific input), and approve the security policies; and such reviews, updates, and approvals occur no less than annually. 20
hipaa 0118.05a1Organizational.2-05.a hipaa-0118.05a1Organizational.2-05.a 0118.05a1Organizational.2-05.a 01 Information Protection Program 0118.05a1Organizational.2-05.a 05.01 Internal Organization Shared n/a Senior management assigns an individual or group to ensure the effectiveness of the information protection program through program oversight; establish and communicate the organization's priorities for organizational mission, objectives, and activities; review and update of the organization's security plan; ensure compliance with the security plan by the workforce; and evaluate and accept security risks on behalf of the organization. 8
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 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 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 12101.09ab1Organizational.3-09.ab hipaa-12101.09ab1Organizational.3-09.ab 12101.09ab1Organizational.3-09.ab 12 Audit Logging & Monitoring 12101.09ab1Organizational.3-09.ab 09.10 Monitoring Shared n/a The organization specifies how often audit logs are reviewed, how the reviews are documented, and the specific roles and responsibilities of the personnel conducting the reviews, including the professional certifications or other qualifications required. 18
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 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
ISO27001-2013 A.12.1.1 ISO27001-2013_A.12.1.1 ISO 27001:2013 A.12.1.1 Operations Security Documented operating procedures Shared n/a Operating procedures shall be documented and made available to all users who need them. link 31
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.18.1.1 ISO27001-2013_A.18.1.1 ISO 27001:2013 A.18.1.1 Compliance Identification applicable legislation and contractual requirements Shared n/a All relevant legislative statutory, regulatory, contractual requirements and the organization's approach to meet these requirements shall be explicitly identified, documented and kept up to date for each information system and the organization. link 30
ISO27001-2013 A.18.2.2 ISO27001-2013_A.18.2.2 ISO 27001:2013 A.18.2.2 Compliance Compliance with security policies and standards Shared n/a Managers shall regularly review the compliance of information processing and procedures within their area of responsibility with the appropriate security policies, standards and any other security requirements. link 36
ISO27001-2013 A.5.1.1 ISO27001-2013_A.5.1.1 ISO 27001:2013 A.5.1.1 Information Security Policies Policies for information security Shared n/a A set of policies for information security shall be defined, approved by management, published and communicated to employees and relevant external parties. link 42
ISO27001-2013 A.5.1.2 ISO27001-2013_A.5.1.2 ISO 27001:2013 A.5.1.2 Information Security Policies Review of the policies for information security Shared n/a The policies for information security shall be reviewed at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy, and effectiveness. link 29
ISO27001-2013 A.6.1.1 ISO27001-2013_A.6.1.1 ISO 27001:2013 A.6.1.1 Organization of Information Security Information security roles and responsibilities Shared n/a All information security responsibilities shall be clearly defined and allocated. link 73
ISO27001-2013 C.4.3.a ISO27001-2013_C.4.3.a ISO 27001:2013 C.4.3.a Context of the organization Determining the scope of the information security management system Shared n/a The organization shall determine the boundaries and applicability of the information security management system to establish its scope. When determining this scope, the organization shall consider: a) the external and internal issues referred to in 4.1; The scope shall be available as documented information. link 3
ISO27001-2013 C.4.3.b ISO27001-2013_C.4.3.b ISO 27001:2013 C.4.3.b Context of the organization Determining the scope of the information security management system Shared n/a The organization shall determine the boundaries and applicability of the information security management system to establish its scope. When determining this scope, the organization shall consider: b) the requirements referred to in 4.2. The scope shall be available as documented information. link 3
ISO27001-2013 C.5.1.b ISO27001-2013_C.5.1.b ISO 27001:2013 C.5.1.b Leadership Leadership and commitment Shared n/a Top management shall demonstrate leadership and commitment with respect to the information security management system by: b) ensuring the integration of the information security management system requirements into the organization’s processes. link 28
ISO27001-2013 C.5.2.c ISO27001-2013_C.5.2.c ISO 27001:2013 C.5.2.c Leadership Policy Shared n/a Top management shall establish an information security policy that: c) includes a commitment to satisfy applicable requirements related to information security. link 23
ISO27001-2013 C.5.2.d ISO27001-2013_C.5.2.d ISO 27001:2013 C.5.2.d Leadership Policy Shared n/a Top management shall establish an information security policy that: d) includes a commitment to continual improvement of the information security management system. link 23
ISO27001-2013 C.6.2.e ISO27001-2013_C.6.2.e ISO 27001:2013 C.6.2.e Planning Information security objectives and planning to achieve them Shared n/a The organization shall establish information security objectives at relevant functions and levels. The information security objectives shall: e) be updated as appropriate. The organization shall retain documented information on the information security objectives. link 2
ISO27001-2013 C.9.2.e ISO27001-2013_C.9.2.e ISO 27001:2013 C.9.2.e Performance Evaluation Internal audit Shared n/a The organization shall conduct internal audits at planned intervals to provide information on whether the information security management system: e) select auditors and conduct audits that ensure objectivity and the impartiality of the audit process. link 5
NIST_SP_800-171_R2_3 .12.4 NIST_SP_800-171_R2_3.12.4 NIST SP 800-171 R2 3.12.4 Security Assessment Develop, document, and periodically update system security plans that describe system boundaries, system environments of operation, how security requirements are implemented, and the relationships with or connections to other systems. Shared Microsoft and the customer share responsibilities for implementing this requirement. System security plans relate security requirements to a set of security controls. System security plans also describe, at a high level, how the security controls meet those security requirements, but do not provide detailed, technical descriptions of the design or implementation of the controls. System security plans contain sufficient information to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk if the plan is implemented as intended. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. Federal agencies may consider the submitted system security plans and plans of action as critical inputs to an overall risk management decision to process, store, or transmit CUI on a system hosted by a nonfederal organization and whether it is advisable to pursue an agreement or contract with the nonfederal organization. [SP 800-18] provides guidance on developing security plans. [NIST CUI] provides supplemental material for Special Publication 800-171 including templates for system security plans. link 8
NIST_SP_800-53_R4 AT-1 NIST_SP_800-53_R4_AT-1 NIST SP 800-53 Rev. 4 AT-1 Awareness And Training Security Awareness And Training Policy Andprocedures Shared n/a The organization: a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and b. Reviews and updates the current: 1. Security awareness and training policy [Assignment: organization-defined frequency]; and 2. Security awareness and training procedures [Assignment: organization-defined frequency]. Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9. Control Enhancements: None. References: NIST Special Publications 800-12, 800-16, 800-50, 800-100. link 2
NIST_SP_800-53_R4 AU-1 NIST_SP_800-53_R4_AU-1 NIST SP 800-53 Rev. 4 AU-1 Audit And Accountability Audit And Accountability Policy And Procedures Shared n/a The organization: a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]: 1. An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and 2. Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and b. Reviews and updates the current: 1. Audit and accountability policy [Assignment: organization-defined frequency]; and 2. Audit and accountability procedures [Assignment: organization-defined frequency]. Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9. Control Enhancements: None. References: NIST Special Publications 800-12, 800-100. link 4
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_R5 AT-1 NIST_SP_800-53_R5_AT-1 NIST SP 800-53 Rev. 5 AT-1 Awareness and Training Policy and Procedures Shared n/a a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]: 1. [Selection (OneOrMore): Organization-level;Mission/business process-level;System-level] awareness and training policy that: (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2. Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls; b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and c. Review and update the current awareness and training: 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]. link 2
NIST_SP_800-53_R5 AU-1 NIST_SP_800-53_R5_AU-1 NIST SP 800-53 Rev. 5 AU-1 Audit and Accountability Policy and Procedures Shared n/a a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]: 1. [Selection (OneOrMore): Organization-level;Mission/business process-level;System-level] audit and accountability policy that: (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2. Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls; b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and c. Review and update the current audit and accountability: 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]. link 4
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
PCI_DSS_v4.0 10.1.1 PCI_DSS_v4.0_10.1.1 PCI DSS v4.0 10.1.1 Requirement 10: Log and Monitor All Access to System Components and Cardholder Data Processes and mechanisms for logging and monitoring all access to system components and cardholder data are defined and documented Shared n/a All security policies and operational procedures that are identified in Requirement 10 are: • Documented. • Kept up to date. • In use. • Known to all affected parties. link 4
PCI_DSS_v4.0 12.1.2 PCI_DSS_v4.0_12.1.2 PCI DSS v4.0 12.1.2 Requirement 12: Support Information Security with Organizational Policies and Programs A comprehensive information security policy that governs and provides direction for protection of the entity’s information assets is known and current Shared n/a 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. link 2
PCI_DSS_v4.0 12.5.3 PCI_DSS_v4.0_12.5.3 PCI DSS v4.0 12.5.3 Requirement 12: Support Information Security with Organizational Policies and Programs PCI DSS scope is documented and validated Shared n/a Significant changes to organizational structure result in a documented (internal) review of the impact to PCI DSS scope and applicability of controls, with results communicated to executive management. link 2
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 800-171 Rev. 2 03055927-78bd-4236-86c0-f36125a10dc9 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
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 5226dee6-3420-711b-4709-8e675ebd828f
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api-version=2021-06-01
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