PI1.2 System inputs are complete, accurate, and processed in a timely manner
Implements policies and procedures over system inputs, including controls over completeness and accuracy, to result in products, services, and reporting to meet the entity's objectives.
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
- Evidence of the controls in operation, such as validation rule configuration, rejection reports and reconciliation of input counts and values · Cloud console / configuration management
periodic reviewEvidence produced at each review
- Records of the handling of rejected or exception items, showing they are corrected and resubmitted rather than lost · Document repository
- Evidence controls cover all input routes, including manual entry, file and batch feeds and application programming interfaces · Document repository
governing documentDocuments that govern the control
- Documented policies and procedures over system inputs, including validation, edit checks and authorisation of inputs · Policy repository / GRC workspace
- Evidence of monitoring of input timeliness against the specification · Policy repository / GRC workspace
First move
Mostly documents and reviews. Pull the 1 system-held artefact from your Cloud console / configuration management 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
- Validation implemented in the user interface while the application programming interface and batch routes accept the same data unvalidated
- Rejected items written to an error queue that nobody monitors, so they are silently dropped
- Input completeness assumed from the absence of errors with no reconciliation of counts or totals to the source
- Timeliness of input not measured, though the criterion requires it
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 sheetPI1.1 Obtains or generates and uses relevant quality information to support processing integrity · PI1.3 System processing is complete, valid, accurate, timely, and authorized