What evidence do auditors commonly ask for on 10.1.1 Requirement 10 policies and procedures maintained and in use?

Logging and monitoring policy with version history and last review date; Operational procedures for log configuration, review, retention and NTP management; Evidence of distribution to affected staff (intranet posting, acknowledgement records); Change log showing procedures updated after technology or process changes; Interview notes confirming SOC and system administrators follow the documented steps.

What is the most common gap auditors find on 10.1.1?

Logging policy exists but has not been revised since the SIEM or log platform was replaced

PCI DSS v4.0.1 · Req 10: Logging and Monitoring

`10.1.1` Requirement 10 policies and procedures maintained and in use

Every security policy and operational procedure that Requirement 10 calls for must meet four conditions: it is written down, it is kept current, it is actually followed in practice, and every affected party knows about it. This covers the policies and procedures behind audit logging, log protection, log review, log retention, time synchronization and detection of critical security control failures. Applies to all entities assessed against PCI DSS. Customized approach objective: the expectations, controls and oversight for logging and monitoring activities are set out and followed by the relevant staff, so that the work is repeatable, applied consistently and matches what management intends.

Source: PCI DSS v4.0.1, 10.1.1. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open PCI DSS v4.0.1 in the compliance library.

Version 4.0.1 is the active version; 4.0 has been retired. Appendix A1 applies only to multi-tenant service providers, A2 only to card-present POS POI terminals that still use SSL or early TLS, and A3 only when a payment brand or acquirer requires it. Which requirements apply to you follows your validation type.

artefacts

held by a system

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. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

Change log showing procedures updated after technology or process changes · SIEM / log platform

periodic reviewEvidence produced at each review

Evidence of distribution to affected staff (intranet posting, acknowledgement records) · HR system / LMS
Interview notes confirming SOC and system administrators follow the documented steps · Policy repository / GRC workspace

governing documentDocuments that govern the control

Logging and monitoring policy with version history and last review date · Policy repository / GRC workspace
Operational procedures for log configuration, review, retention and NTP management · Policy repository / GRC workspace

First move

Mostly documents and reviews. Pull the 1 system-held artefact from your SIEM / log platform on a schedule; put the documents under version control with an owner and review date, and log each review as a dated record with a named reviewer.

Common gaps auditors find

Logging policy exists but has not been revised since the SIEM or log platform was replaced
Procedures describe daily review steps that the operations team does not actually perform
Third-party log review provider has never been given the entity's procedures

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

9.5.1.3 Training for personnel in POI environments · 10.1.2 Roles for logging and monitoring assigned and understood