CA-1 Policy and procedures for assessment, authorization, and monitoring
Requires an assessment, authorization and monitoring policy with supporting procedures to be developed, approved, disseminated to defined personnel, assigned to a named official, and reviewed and updated on a defined fre
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
- Dissemination evidence to the defined personnel or roles · Identity provider / directory
governing documentDocuments that govern the control
- Approved assessment, authorization and monitoring policy with scope and approver · Policy repository / GRC workspace
- Written designation of the official accountable for the assessment, authorization and monitoring policy and procedures · Policy repository / GRC workspace
- Procedures covering assessment planning, authorization and ongoing monitoring · Policy repository / GRC workspace
- Review record for the assessment, authorization and monitoring 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 covers initial authorization but is silent on ongoing monitoring
- Procedures never updated after the authorization process itself changed
- No named owner, so the policy drifts from actual practice
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 sheetAU-16 Cross-organizational Audit Logging. Employ [organization-defined] for coordinating [organization-defined] among external organizations when audit information is transmitted across organizational boundaries · CA-2 Control assessments