GV-1.3 Processes and procedures are in place to determine the needed level of risk management activities based on the organization's risk tolerance
Processes and procedures are in place to determine the needed level of risk management activities based on the organization's risk tolerance. Risk management effort is allocated by a documented rule rather than by availa
4
artefacts
0
held by a system
1
at each review
hard
to go live
Document repository
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 that a high-tier system actually received the additional activities its tier requires · Document repository
governing documentDocuments that govern the control
- The documented risk tiering criteria and the scale risks are assigned to · Document repository
- Tier assignment records for the AI systems in the inventory, with the reasoning · Policy repository / GRC workspace
- The activity set required at each tier, showing what changes between tiers · Document repository
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
- Risk tolerance expressed only as a word such as low or moderate, with no scale behind it
- Every system assigned the same tier, which makes the tiering inert
- Tier assigned at intake and never revisited after the system's use expanded
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 sheetGV-1.2 The characteristics of trustworthy AI are integrated into organizational policies, processes, and procedures · GV-1.4 The risk management process and its outcomes are established through transparent policies, procedures, and other controls based on organizational risk priorities