A&A-04 Requirements Compliance
Confirm during each audit that the organisation meets every standard, regulation, contract clause and statutory obligation inside the audit scope, and record the outcome for each one.
4
artefacts
0
held by a system
1
at each review
hard
to go live
Policy repository / GRC workspace
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
- Non-conformity records raised where an obligation was not met · Document repository
governing documentDocuments that govern the control
- The compliance obligations register mapped to the audit scope · Policy repository / GRC workspace
- Audit working papers showing a tested conclusion against each obligation · Policy repository / GRC workspace
- Contractual clauses that carry security or compliance obligations · Document repository
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
- Obligations register is out of date so newly applicable regulation was never audited
- Audit report gives an overall opinion with no per-obligation conclusion
- Contractual obligations treated as out of scope for the compliance audit
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-03 Risk Based Planning Assessment · A&A-05 Audit Management Process