AU-1 Policy and procedures for audit and accountability
Requires an audit and accountability policy and supporting procedures to be developed, approved, issued to defined personnel, owned by a named official, and reviewed and updated on a defined frequency and after defined e
5
artefacts
0
held by a system
1
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
- Evidence of dissemination to the defined personnel or roles · Identity provider / directory
governing documentDocuments that govern the control
- Approved audit and accountability policy with scope, approver and date · Policy repository / GRC workspace
- Designation of the official responsible for the policy and procedures · Policy repository / GRC workspace
- Logging procedures covering what is logged, where it goes and who reviews it · Policy repository / GRC workspace
- Review record for the audit and accountability policy and procedures against the defined frequency and triggering events · 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
- Policy describes on-premises logging only while workloads have moved to cloud services
- Procedures do not say who reviews logs or how often
- Review cadence and triggering events left undefined
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