A&A-02 Independent Assessments
Commission audit and assurance assessments from assessors independent of the activity being examined, run them against recognised standards, and repeat them at least annually.
4
artefacts
0
held by a system
3
at each review
hard
to go live
Document repository
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
- Assessment reports from the last twelve months naming the assessor · Document repository
- Evidence of assessor independence such as an engagement letter or organisational chart showing separation · Document repository
- Scope statement for each assessment · Policy repository / GRC workspace
governing documentDocuments that govern the control
- The recognised standard each assessment was performed against · Policy repository / GRC workspace
First move
This control is evidenced by people and documents, not systems. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date. Do not try to automate it.
Common gaps auditors find
- Assessment carried out by the same team that operates the controls
- No assessment inside the last twelve months
- The standard assessed against is not named, so the result cannot be interpreted
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 sheetA&A-01 Audit and Assurance Policy and Procedures · A&A-03 Risk Based Planning Assessment