3.1.2 Roles and responsibilities for performing activities in Requirement 3 are documented, assigned, and understood
Roles and responsibilities for performing activities in Requirement 3 are documented, assigned, and understood.
5
artefacts
1
held by a system
1
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
- Application authorization configuration · Identity provider / directory
periodic reviewEvidence produced at each review
- Sample access reviews · Identity provider / directory
governing documentDocuments that govern the control
- Role to function matrix · Policy repository / GRC workspace
- Examine RBAC implementation · Policy repository / GRC workspace
- Test for unauthorized function execution · Policy repository / GRC workspace
First move
Mostly documents and reviews. Pull the 1 system-held artefact from your Identity provider / directory 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
- Application level controls absent
- ERP transaction restrictions undocumented
- API authorization not tested
- Sample size too small
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 sheet3.1.1 All security policies and operational procedures that are identified in Requirement 3 are: • Documented. • Kept up to date. • In use. • Known to all affected parties · 3.2.1 Account data storage is kept to a minimum through implementation of data retention and disposal policies, procedures, and processes that include at least the following: • Coverage for all locations of stored account data.