Control Specification
External assessor coordination workflow
Audit & Certification Services
External assessor coordination workflow defines an enforceable control requirement inside Audit & Certification Services, with measurable checkpoints and operational constraints.
Purpose
Enforce policy and runtime constraints tied to Audit & Certification Services so drift and non-compliant operations are blocked early.
Scope Context
Assurance operating cycle with recurring audit and certification milestones.
Inputs
- Policy requirements and risk appetite definition
- System boundaries and affected components
- Exception handling workflow and escalation owner
Outputs
- Control implementation with enforceable policy condition
- Monitoring signal and alerting threshold
- Exception register entry with expiry and audit trace
Acceptance Criteria
- Control blocks or flags non-compliant state changes
- Evidence is exportable for internal or external audit
- Exception path is time-bounded and explicitly approved
Compliance Evidence Notes
- [DORA] Control objective and test outcome recorded for assurance
- [NIS2] Control objective and test outcome recorded for assurance
Specification Schema
Owner Role
Security and Platform Governance Owner
Approval Sign-Off
Governance lead plus founder-level exception approval for bypasses
Versioning Policy
Policy revision tags linked to deployment release ID
Review Cadence
Bi-weekly control health review and quarterly deep audit
Evidence Retention
Control test evidence retained for at least 18 months
Required Sections
- Control objective and policy statement
- Trigger conditions and enforcement mechanism
- Monitoring signals and alert thresholds
- Exception process with expiry policy
- Control test method and result capture format