AU-1 Policy and Procedures
Develop and review audit/accountability policy annually.
5
artefacts
3
held by a system
0
at each review
easy
to go live
SIEM / log platform
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
- Time synchronisation evidence across logging endpoints · Endpoint management (MDM / EDR)
- Audit log integrity controls including write once storage or hashing · SIEM / log platform
- List of auditable events and log source inventory · SIEM / log platform
periodic reviewEvidence produced at each review
none for this control
governing documentDocuments that govern the control
- Control implementation statement for AU-1 citing the system mission and inheritance from common controls · Policy repository / GRC workspace
- Audit and accountability policy with retention periods defined · Policy repository / GRC workspace
First move
Automate the pull from your SIEM / log platform. Retention and alert rules exported from the SIEM; review evidence is the closed-alert record with reviewer and time.
Common gaps auditors find
- Audit log retention shorter than the policy mandated period
- Reviewers acknowledge alerts but do not document investigation outcomes
- Clock drift across hosts breaks event correlation
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