What evidence do auditors commonly ask for on INQ-01 Legal Assessment of Investigative Inquiries?

Written procedure routing agency requests to legal review before any action is taken; Legal assessment records for received requests citing the basis relied upon; Qualification records for the personnel who perform the assessment; Intake log capturing the date, agency and channel of each request.

What is the most common gap auditors find on INQ-01?

Requests actioned by operations staff before the legal review happens

BSI C5 (121-criteria catalogue) · C5: Dealing with Investigation Requests from Government Agencies

`INQ-01` Legal Assessment of Investigative Inquiries

Route every investigation request received from a government agency to qualified internal specialists for a legal assessment that establishes whether the agency has an applicable and legally valid basis, and determines what further steps must follow.

Source: BSI C5 (121-criteria catalogue), INQ-01. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open BSI C5 (121-criteria catalogue) in the compliance library.

The edition of the catalogue is not stamped here; check the edition your attestation is issued against.

artefacts

held by a system

at each review

moderate

to go live

SIEM / log platform

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

Intake log capturing the date, agency and channel of each request · SIEM / log platform

periodic reviewEvidence produced at each review

Legal assessment records for received requests citing the basis relied upon · Document repository
Qualification records for the personnel who perform the assessment · Document repository

governing documentDocuments that govern the control

Written procedure routing agency requests to legal review before any action is taken · Policy repository / GRC workspace

First move

Start with the 1 of 4 artefacts that already live in a system (SIEM / log platform); keep the periodic reviews but log each one as a dated record with a named reviewer.

Common gaps auditors find

Requests actioned by operations staff before the legal review happens
Assessment recorded as a yes or no with no legal basis cited
Requests arriving through informal channels bypass the intake log
No defined handling for requests from agencies outside the primary jurisdiction

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

IDM-09 Authentication mechanisms · INQ-02 Informing Cloud Customers about Investigation Requests