msolarczekandClaude Opus 5
c8e6f30a27
Unveränderter Stand von certvia/dev (a48c5fb) plus Craftvia-Spezifikation und Brandbook unter docs/craftvia/. ISMS-Module werden im Folgecommit entfernt. Co-Authored-By: Claude Opus 5 <noreply@anthropic.com>
3.1 KiB
3.1 KiB
Internal Audits & Compliance Reviews
| Document information | Value |
|---|---|
| Document type | Procedure instruction (VA-15) |
| Scope | {{ISMS_SCOPE}} |
| Organisation | {{ORG_NAME}} |
| Process owner | {{ROLE_ISB}} |
| Approved by | {{ROLE_MANAGEMENT}} |
| Version | {{DOC_VERSION}} |
| Date | {{DOC_DATE}} |
| Status | {{DOC_STATUS}} |
1. Purpose
This procedure governs the programme, planning, execution, reporting and measure tracking of internal audits as well as the independent review of the ISMS. It operationalises the associated policy ({{LINK:R03}}).
2. Scope
Applies within the ISMS scope ({{ISMS_SCOPE_DESCRIPTION}}) for all policies, procedures and technical requirements within the scope.
3. Trigger
Audit cycle (BL-GOV-01), material changes, request by management, prior findings.
4. Inputs
- Audit programme register ({{LINK:REG-AUDIT-PLAN}})
- Controls / statement of applicability (SoA)
- Previous audit reports & open measures
5. Process
- Plan the audit programme in the register ({{LINK:REG-AUDIT-PLAN}}) (scope, controls reviewed, dates, auditors) — cycle per BL-GOV-01.
- Conduct the audit independently (auditor ≠ person responsible for the area reviewed).
- Record findings/deviations and create them as measures in the ISMS tool ({{TOOL_NAME}}).
- Report the audit report to {{ROLE_MANAGEMENT}} (input for the management review).
- Track measures through to completion.
- Independent review/assessment at least per BL-GOV-01 or after fundamental changes.
6. RACI
| # | Step | R (Execution) | A (Accountable) | C (Consulted) | I (Informed) |
|---|---|---|---|---|---|
| 1 | Plan the audit programme | {{ROLE_ISB}} | {{ROLE_ISB}} | Business units | - |
| 2 | Conduct the audit | Auditor (independent) | {{ROLE_ISB}} | Area reviewed | - |
| 3 | Record findings / create measures | {{ROLE_ISB}} | {{ROLE_ISB}} | Business unit | - |
| 4 | Report to management | {{ROLE_ISB}} | {{ROLE_MANAGEMENT}} | - | {{ROLE_MANAGEMENT}} |
| 5 | Track measures | {{ROLE_ISB}} | {{ROLE_ISB}} | Business unit | - |
| 6 | Independent review | External/independent auditor | {{ROLE_MANAGEMENT}} | {{ROLE_ISB}} | - |
7. Result & evidence
Audit reports, documented findings/measures and a maintained audit programme ({{LINK:REG-AUDIT-PLAN}}). Evidence is referenced in the central evidence register ({{LINK:NACHWEISREGISTER}}).
8. Key performance indicators (KPI)
- Audit coverage of the controls
- Open findings / on-time completion of measures
- Share of audits completed on time
9. Related documents
- Associated policy: {{LINK:R03}}
- Register: {{LINK:REG-AUDIT-PLAN}}
- Risk management procedure: {{LINK:VA-09}}
- Technical security baseline: {{LINK:BASELINE}}
- ISA mapping matrix: {{LINK:ISA_MAPPING}}