id: "PL-04" title: "Rules of Behavior" family: "PL" family_name: "Planning" sort_id: "pl-04" priority: "P1" implementation_level: "organization" enhancements: - pl-4.1
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;
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;
Review and update the rules of behavior {{ insert: param, pl-04_odp.01 }} ; and
Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge {{ insert: param, pl-04_odp.02 }}.
Guidance
Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see PS-6 ). Organizations consider rules of behavior based on individual user roles and responsibilities and differentiate 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 individuals who receive information from federal 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 organizational and non-organizational users can also be established in AC-8 . The related controls section provides a list of controls that are relevant to organizational rules of behavior. PL-4b , the documented acknowledgment portion of the control, may be satisfied by the literacy training and awareness and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures and electronic agreement check boxes or radio buttons.
Assessment Objective: rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are established for individuals requiring access to the system;
Assessment Objective: rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are provided to individuals requiring access to the system;
Assessment Objective: before authorizing access to information and the system, a documented acknowledgement from such individuals indicating that they have read, understand, and agree to abide by the rules of behavior is received;
Assessment Objective: rules of behavior are reviewed and updated {{ insert: param, pl-04_odp.01 }};
Assessment Objective: individuals who have acknowledged a previous version of the rules of behavior are required to read and reacknowledge {{ insert: param, pl-04_odp.02 }}.
Security and privacy planning policy
procedures addressing rules of behavior for system users
rules of behavior
signed acknowledgements
records for rules of behavior reviews and updates
other relevant documents or records
Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior
organizational personnel with responsibility for literacy training and awareness and role-based training
organizational personnel who are authorized users of the system and have signed and resigned rules of behavior
organizational personnel with information security and privacy responsibilities
Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior
mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior