5.36 Compliance with policies, rules and standards for information security
Requires compliance with the organisation's own information security policy, topic specific policies, rules and standards to be reviewed regularly.
5
artefacts
0
held by a system
3
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
- Records of non conformities identified, their cause and the corrective action taken · Policy repository / GRC workspace
- Evidence managers are accountable for compliance in their own area, with reporting to them · Document repository
- Evidence of follow up verifying that corrective action was effective, not merely completed · Policy repository / GRC workspace
governing documentDocuments that govern the control
- The programme of compliance checks against the organisation's own policies, rules and standards, showing coverage and frequency · Policy repository / GRC workspace
- Results of checks performed in the period, including technical configuration compliance against the defined standard · 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
- Compliance measured by asking system owners rather than by examining the systems
- Checks cover the policy areas that are easy to measure and skip the ones that matter
- Non conformities closed on the assertion of the owner with no verification
- Repeat non conformities in the same area never escalated, so the underlying cause is untouched
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 sheet5.35 Independent review of information security · 5.37 Documented operating procedures