GV-1.5 Ongoing monitoring and periodic review of the risk management process and its outcomes are planned, organizational roles and responsibilities are clearly defined, including determining the frequency of periodic review
Ongoing monitoring and periodic review of the risk management process and its outcomes are planned, organizational roles and responsibilities are clearly defined, including determining the frequency of periodic review. M
4
artefacts
0
held by a system
3
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
- Review schedule with the basis for the chosen interval · Document repository
- Completed review records with findings, decisions and follow-up actions · Document repository
- Role definitions assigning monitoring and review duties to named functions · Identity provider / directory
governing documentDocuments that govern the control
- The monitoring plan naming what is monitored, by whom and at what frequency · 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
- Review frequency stated but no completed review on file for the current period
- Reviews recorded as no change with nothing examined to support that conclusion
- Monitoring owned by the team that built the system, with no independent line
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-1.4 The risk management process and its outcomes are established through transparent policies, procedures, and other controls based on organizational risk priorities · GV-1.6 Mechanisms are in place to inventory AI systems and are resourced according to organizational risk priorities