Roles + RACI defined
Demonstrate that cybersecurity roles and responsibilities are formally defined using a RACI or equivalent accountability framework, documented in accessible formats, communicated to stakeholders, and aligned to actual operational practices.
Description
What this control does
This control requires the organization to document and assign clear roles, responsibilities, accountabilities, and consultation/information requirements (RACI) for cybersecurity functions and activities. The RACI matrix explicitly identifies who is Responsible for execution, who is Accountable for outcomes, who must be Consulted before decisions, and who must be Informed after decisions across security processes including incident response, access management, vulnerability remediation, and compliance activities. This documentation prevents role confusion, ensures accountability, and enables rapid decision-making during security events by eliminating ambiguity about who owns each security function.
Control objective
What auditing this proves
Demonstrate that cybersecurity roles and responsibilities are formally defined using a RACI or equivalent accountability framework, documented in accessible formats, communicated to stakeholders, and aligned to actual operational practices.
Associated risks
Risks this control addresses
- Delayed incident response due to unclear ownership of detection, escalation, and remediation responsibilities during active security events
- Security gaps arising from assumed versus actual responsibility for controls, resulting in unmonitored or unpatched systems
- Accountability failures where no individual is clearly answerable for security outcomes, enabling blame diffusion after breaches
- Conflicting decisions or redundant work when multiple parties believe they own the same security function
- Compliance violations resulting from undefined responsibility for regulatory control implementation and evidence collection
- Insider threats or negligence going undetected due to unclear monitoring and oversight accountability
- Failed audits when auditors cannot identify control owners or responsible parties for testing and evidence requests
Testing procedure
How an auditor verifies this control
- Request the current cybersecurity RACI matrix or equivalent role/responsibility documentation covering all security domains (access control, incident response, vulnerability management, compliance, governance).
- Verify the RACI document explicitly identifies Responsible, Accountable, Consulted, and Informed parties for each major security process and activity, with named roles or job titles rather than generic references.
- Select five critical security processes (e.g., incident response escalation, privileged access approval, vulnerability patching, security audit response, policy exception approval) and trace each to the RACI matrix.
- Interview three individuals named in the RACI matrix across different functions to confirm they understand their assigned role, can describe their specific responsibilities, and know who to escalate to.
- Review organizational charts and compare reporting structures to Accountable assignments in the RACI to verify alignment between formal accountability and managerial authority.
- Examine three recent security incidents, change requests, or audit findings and verify actions were performed by parties matching RACI assignments, evidenced through tickets, approvals, or logs.
- Check the RACI document version history and review cycles to confirm it is actively maintained, with updates reflecting organizational changes, new hires, or role transitions within the past 12 months.
- Test knowledge distribution by requesting evidence that the RACI matrix has been communicated to all named parties and is accessible via intranet, security portal, or document repository.
Where this control is tested