STA-11 Internal Compliance Testing
Assess internally at least annually whether standards, policies, procedures and service level activities are being conformed to and are working.
4
artefacts
0
held by a system
1
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
- Internal assessment reports from the last twelve months · Document repository
governing documentDocuments that govern the control
- Scope covering standards, policies, procedures and service level activities · Policy repository / GRC workspace
- Conformance and effectiveness conclusions, not just conformance · Document repository
- Findings and their remediation · 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
- Assessment tests conformance to documents without asking whether the control works
- Service level activities excluded from scope
- Assessment performed by the team that owns the process
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 sheetSTA-10 Supply Chain Agreement Review · STA-12 Supply Chain Service Agreement Compliance