AU-1 Policy and Procedures
Extends audit and accountability policy to cover supply chain events and the logging obligations placed on suppliers.
3
artefacts
1
held by a system
1
at each review
moderate
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
- Contract clauses requiring supplier logging and access to logs · SIEM / log platform
periodic reviewEvidence produced at each review
- Review records · Policy repository / GRC workspace
governing documentDocuments that govern the control
- Audit policy covering supply chain events · Policy repository / GRC workspace
First move
Start with the 1 of 3 artefacts that already live in a system (SIEM / log platform); keep the periodic reviews but log each one as a dated record with a named reviewer.
Common gaps auditors find
- no logging obligation in supplier contracts
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