10.1.1 Requirement 10 policies and operational procedures documented and maintained
All security policies and operational procedures identified in Requirement 10 are documented, kept up to date, in use, and known to all affected parties, so that logging and monitoring expectations and oversight are defi
5
artefacts
1
held by a system
2
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
- Version history or document control record showing they are kept up to date · Policy repository / GRC workspace
periodic reviewEvidence produced at each review
- Evidence of review and approval within the defined cycle and after process or technology changes · Policy repository / GRC workspace
- Distribution, acknowledgement or training records proving affected parties know them · HR system / LMS
governing documentDocuments that govern the control
- The logging and monitoring policies and operational procedures covering Requirement 10 · Policy repository / GRC workspace
- Interview notes confirming the documented procedures match what personnel actually do · Policy repository / GRC workspace
First move
Mostly documents and reviews. Pull the 1 system-held artefact from your Policy repository / GRC workspace 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
- Policy exists but the operational procedures behind it were never written
- Documents last reviewed years ago and still naming retired tooling
- Procedures not disseminated beyond the security team that wrote them
- Documented process contradicts the observed 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 sheet9.5.1.3 POI personnel training · 10.1.2 Requirement 10 roles and responsibilities documented and assigned