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>
73 lines
3.1 KiB
Markdown
73 lines
3.1 KiB
Markdown
# Internal Audits & Compliance Reviews
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| Document information | Value |
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|-----------------------|------|
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| Document type | Procedure instruction (VA-15) |
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| Scope | {{ISMS_SCOPE}} |
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| Organisation | {{ORG_NAME}} |
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| Process owner | {{ROLE_ISB}} |
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| Approved by | {{ROLE_MANAGEMENT}} |
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| Version | {{DOC_VERSION}} |
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| Date | {{DOC_DATE}} |
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| Status | {{DOC_STATUS}} |
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<!-- FULFILLS 1.5.1-M1, 1.5.1-M2, 1.5.1-M3, 1.5.1-M4, 1.5.1-M5, 1.5.1-S1, 1.5.2-M1, 1.5.2-M2, 1.5.2-S1, 9.2-1, A.5.35-1, A.5.36-1, A.8.34-1 | POLICY R03 -->
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## 1. Purpose
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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}}).
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## 2. Scope
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Applies within the ISMS scope ({{ISMS_SCOPE_DESCRIPTION}}) for all policies, procedures and technical requirements within the scope.
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## 3. Trigger
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Audit cycle (BL-GOV-01), material changes, request by management, prior findings.
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## 4. Inputs
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- Audit programme register ({{LINK:REG-AUDIT-PLAN}})
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- Controls / statement of applicability (SoA)
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- Previous audit reports & open measures
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## 5. Process
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1. Plan the **audit programme** in the **register ({{LINK:REG-AUDIT-PLAN}})** (scope, controls reviewed, dates, auditors) — cycle per **BL-GOV-01**.
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2. Conduct the audit **independently** (auditor ≠ person responsible for the area reviewed).
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3. Record findings/deviations and create them as measures in the ISMS tool ({{TOOL_NAME}}).
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4. Report the audit report to {{ROLE_MANAGEMENT}} (input for the management review).
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5. Track measures through to completion.
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6. Independent review/assessment at least per **BL-GOV-01** or after fundamental changes.
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## 6. RACI
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| # | Step | R (Execution) | A (Accountable) | C (Consulted) | I (Informed) |
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|---|---------|------------------|------------------|-----------------|----------------|
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| 1 | Plan the audit programme | {{ROLE_ISB}} | {{ROLE_ISB}} | Business units | - |
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| 2 | Conduct the audit | Auditor (independent) | {{ROLE_ISB}} | Area reviewed | - |
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| 3 | Record findings / create measures | {{ROLE_ISB}} | {{ROLE_ISB}} | Business unit | - |
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| 4 | Report to management | {{ROLE_ISB}} | {{ROLE_MANAGEMENT}} | - | {{ROLE_MANAGEMENT}} |
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| 5 | Track measures | {{ROLE_ISB}} | {{ROLE_ISB}} | Business unit | - |
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| 6 | Independent review | External/independent auditor | {{ROLE_MANAGEMENT}} | {{ROLE_ISB}} | - |
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## 7. Result & evidence
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Audit reports, documented findings/measures and a maintained audit programme ({{LINK:REG-AUDIT-PLAN}}). Evidence is referenced in the central evidence register ({{LINK:NACHWEISREGISTER}}).
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## 8. Key performance indicators (KPI)
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- Audit coverage of the controls
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- Open findings / on-time completion of measures
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- Share of audits completed on time
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## 9. Related documents
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- Associated policy: {{LINK:R03}}
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- Register: {{LINK:REG-AUDIT-PLAN}}
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- Risk management procedure: {{LINK:VA-09}}
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- Technical security baseline: {{LINK:BASELINE}}
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- ISA mapping matrix: {{LINK:ISA_MAPPING}}
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<!-- Erfüllt die oben unter FULFILLS gelisteten Anforderungen; Kopplung in mapping.json. Im Lesemodus nicht sichtbar. -->
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