# NIST SP 800-53 Rev. 5 PT-6 — System Of Records Notice - Source: https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/pt-6-system-of-records-notice - Section: [Compliance](https://support.icompaas.com/compliance) › [NIST SP 800-53 Rev. 5 Controls](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5) › PT — PII Processing and Transparency - Last updated: 2026-06-05 - Publisher: iCompaas, Inc. (https://www.icompaas.com) **NIST SP 800-53 Rev. 5**·Control `PT-6`·high·Component: **System of Records Notice** ## What this control requires > For systems processing information maintained in a Privacy Act system of records, agencies must draft system of records notices according to OMB guidance and submit new or significantly modified notices for OMB and Congressional review. These notices must be published in the Federal Register and kept accurate and up-to-date in line with policy requirements. They provide details on the existence, purpose, authority, categories of records, and uses of the system. > > — NIST SP 800-53 Rev. 5, Control PT-6 ### In plain English For systems processing information maintained in a Privacy Act system of records, agencies must draft system of records notices according to OMB guidance and submit new or significantly modified notices for OMB and Congressional review. In practice, this means you can prove you policy management-level controls on a defined cadence. ## Why it matters SP 800-53 is the catalogue every U.S. federal authorisation (FedRAMP, FISMA, CMMC) and most regulated industries point at. A missing control surfaces as a Plan of Action & Milestones (POA&M) item that an Authorizing Official must approve before the Authority To Operate is granted or renewed. This control is rated **high**. Auditors expect a named owner, a remediation SLA, and a tooling artefact that evidences continuous operation. ## What an auditor looks for A 3PAO (FedRAMP) or Independent Assessor (NIST RMF) tests against NIST SP 800-53A assessment procedures. For each control they expect a documented implementation that addresses every assessment objective (Examine, Interview, Test) and an implementation summary in the System Security Plan. Within **System of Records Notice**, the assessor will trace your implementation back to the catalogue reference (Control PT-6) and look for objective evidence on the latest two assessment cycles. ## How to implement #### Policy Management **Docs.** Keep each policy in version-controlled Markdown alongside the code that implements it; ship a signed PDF snapshot at each annual review and link the SHA into the SoA. ### Operational checklist - **Policy.** Document the trigger, the owner and the cadence. - **Information.** Document the trigger, the owner and the cadence. - **Data.** Document the trigger, the owner and the cadence. - **Review.** Document the trigger, the owner and the cadence. - **Protection.** Document the trigger, the owner and the cadence. - **Scope:** management, information, privacy, system, records, protection, review, systems. ## Evidence to collect - **Policy Document.** A signed and version-controlled policy / standard / procedure document. Signed policy or standard documents the safeguard. Focus: System Of Records Notice. ## Common pitfalls - Policies that no engineer has read; the version in Confluence drifts from the version that's actually being enforced. ## How it maps to other frameworks Computed from shared tags, control component and key-operation subjects — handy when you are reconciling controls across an audit. - [**HIPAA (45 CFR Part 164) 164.512(e)** — Disclosures for judicial and administrative proceedings](https://support.icompaas.com/compliance/hipaa/164-512-e-disclosures-for-judicial-and-administrative-proceedings) - [**India DPDP Act 2023 TR-001** — Standalone Privacy Notice](https://support.icompaas.com/compliance/india-dpdp-act-2023/tr-001-standalone-privacy-notice) - [**SOC 2 (2017 TSC) P2.1** — Communication of Data Subject Choices and Consequences](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/p2-1-communication-of-data-subject-choices-and-consequences) ## Related controls in NIST SP 800-53 Rev. 5 - [**Control PT-6(1)** — Routine Uses](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/pt-6-1-routine-uses) - [**Control PT-5** — Privacy Notice](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/pt-5-privacy-notice) - [**Control PT-5(2)** — Privacy Act Statements](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/pt-5-2-privacy-act-statements) - [**Control SA-4(11)** — System Of Records](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/sa-4-11-system-of-records) - [**Control SI-18(5)** — Notice Of Correction Or Deletion](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/si-18-5-notice-of-correction-or-deletion) - [**Control SI-12(3)** — Information Disposal](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/si-12-3-information-disposal) ## References - [NIST Computer Security Resource Center — NIST SP 800-53 Rev. 5](https://csrc.nist.gov/Projects/risk-management/sp800-53-controls) - Catalogue identifier: `Control PT-6` Topics: governance riskdata protectionpolicy managementprivacy management ## Related compliance guidance - [NIST SP 800-53 Rev. 5: a practical implementation guide for cloud teams](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5): Start with the full NIST SP 800-53 implementation guide — scope, roadmap, evidence and how the assessment runs. - [NIST SP 800-171 and CMMC: a practical guide to protecting CUI in the cloud](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3): If your obligation is protecting CUI in your own systems for a federal or defence contract, this derived subset — not the full catalogue — is the requirement. - [SOC 2 compliance: a practical implementation guide for cloud-native SaaS teams](https://support.icompaas.com/compliance/soc-2-trust-services-criteria): Most commercial SaaS already hold a SOC 2 Type 2, and FedRAMP 20x Class A is designed for providers that have one.