CA-1 Policy and Procedures
Develop and review assessment/authorization policy at least annually.
5
artefacts
1
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
- Continuous monitoring strategy with metric definitions · SIEM / log platform
periodic reviewEvidence produced at each review
- Control assessment report with tester names and dates · Document repository
governing documentDocuments that govern the control
- Control implementation statement for CA-1 citing the system mission and inheritance from common controls · Document repository
- Independent assessor statement of independence · Document repository
- System security plan covering the authorization boundary · Policy repository / GRC workspace
First move
Mostly documents and reviews. Pull the 1 system-held artefact from your SIEM / log platform on a schedule; put the documents under version control with an owner and review date, and log each review as a dated record with a named reviewer.
Common gaps auditors find
- Authorization boundary description does not match the asset inventory
- POAM items past due without justification or risk acceptance
- Continuous monitoring metrics collected but not reported to leadership
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