PI1.3 System processing is complete, valid, accurate, timely, and authorized
Implements policies and procedures over system processing 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 processing is complete, valid, accurate, timely and authorised, such as reconciliations, control totals, exception reports and processing logs · SIEM / log platform
periodic reviewEvidence produced at each review
- Records of processing exceptions and errors, with their investigation and correction · Document repository
- Evidence of authorisation controls over processing, including who may initiate, override or reprocess · Document repository
governing documentDocuments that govern the control
- Policies and procedures over system processing, and evidence of the controls implementing them · Policy repository / GRC workspace
- Evidence of monitoring of processing against the defined specifications and service commitments · 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
- Reconciliation performed at a summary level that would not detect an offsetting error
- Manual overrides and reprocessing permitted with no authorisation record or subsequent review
- Exception reports produced and reviewed by the same person who performs the processing
- Timeliness of processing not measured against any stated commitment
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 sheetPI1.2 System inputs are complete, accurate, and processed in a timely manner · PI1.4 System outputs are complete, valid, accurate, timely, and distributed