PL 4 Rules Of Behavior

---
name: "PL-4_rules-of-behavior"
description: "Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for infor..."
category: "configuration"
version: "5.2.0"
author: "cyberstrike-official"
tags:
  - nist
  - sp800-53
  - rev5
  - pl-4
  - pl
tech_stack:
  - any
cwe_ids: []
chains_with:
  - AC-2
  - AC-6
  - AC-8
  - AC-9
  - AC-17
  - AC-18
  - AC-19
  - AC-20
  - AT-2
  - AT-3
prerequisites: []
severity_boost:
  AC-2: "Chain with AC-2 for comprehensive security coverage"
  AC-6: "Chain with AC-6 for comprehensive security coverage"
  AC-8: "Chain with AC-8 for comprehensive security coverage"
---

# PL-4 Rules of Behavior

## High-Level Description

**Family:** Planning (PL)
**Framework:** NIST SP 800-53 Rev 5

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](#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](#ac-8) . The related controls section provides a list of controls that are relevant to organizational rules of behavior. [PL-4b](#pl-4_smt.b) , 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.

## What to Check

- [ ] Verify PL-4 Rules of Behavior is documented in SSP
- [ ] Validate all 4 control requirements are implemented
- [ ] Confirm control is operating effectively
- [ ] Review evidence of continuous monitoring for PL-4

## How to Test

### Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for PL-4 implementation details. Verify the organization has documented how this control is satisfied.

### Step 2: Validate Implementation

```
# For cloud environments, use cloud-audit-mcp tools
# For on-premises, review system configurations directly

# Example: Check if account management policies exist
grep -r "account.management\|access.control" /etc/security/ 2>/dev/null
```

### Step 3: Test Operating Effectiveness

Verify the control is actively functioning, not just documented. Check logs, configurations, and operational evidence.

## Tools

| Tool          | Purpose                           | Usage |
| ------------- | --------------------------------- | ----- |
| Manual Review | Documentation and interview-based | N/A   |

## Remediation Guide

### Control Statement

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 [organization-defined] ; and
Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge [organization-defined].

### Implementation 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](#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](#ac-8) . The related controls section provides a list of controls that are relevant to organizational rules of behavior. [PL-4b](#pl-4_smt.b) , 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.

## Risk Assessment

| Finding                                | Severity | Impact              |
| -------------------------------------- | -------- | ------------------- |
| PL-4 Rules of Behavior not implemented | Medium   | Planning            |
| PL-4 partially implemented             | Low      | Incomplete Planning |

## CWE Categories

| CWE ID | Title                 |
| ------ | --------------------- |
| N/A    | No direct CWE mapping |

## References

- [NIST SP 800-53 Rev 5 - PL-4](https://csrc.nist.gov/projects/cprt/catalog#/cprt/framework/version/SP_800_53_5_1_1/home?element=pl-4)
- [NIST SP 800-53A Rev 5 (Assessment Procedures)](https://csrc.nist.gov/pubs/sp/800/53/a/r5/final)
- [NIST SP 800-53 Rev 5 Full Catalog](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final)

## Checklist

- [ ] Control documented in SSP
- [ ] Implementation evidence collected
- [ ] Operating effectiveness validated
- [ ] Continuous monitoring in place
- [ ] Related controls (AC-2, AC-6, AC-8, AC-9, AC-17) reviewed