RA-1 Policy and procedures for risk assessment
Requires a risk assessment policy with supporting procedures to be developed, approved, disseminated to defined personnel, owned by a named official, and reviewed and updated on a defined frequency and after defined even
5
artefacts
0
held by a system
0
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
none for this control
governing documentDocuments that govern the control
- Approved risk assessment policy with scope, approver and date · Policy repository / GRC workspace
- Evidence the risk assessment policy reached the personnel or roles it defines · Policy repository / GRC workspace
- Written designation of the official accountable for the risk assessment policy and procedures · Policy repository / GRC workspace
- Procedures covering assessment method, scoring and risk acceptance · Policy repository / GRC workspace
- Review record for the risk assessment 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 defines a method that assessments do not actually follow
- Privacy risk to individuals absent from the policy
- No review cadence defined for the risk assessment policy, so it silently ages
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 sheetPT-8 Computer Matching Requirements. When a system or organization processes information for the purpose of conducting a matching program: Obtain approval from the Data Integrity Board to conduct the matching program; Develop and enter into · RA-2 Security categorization