COM-02 Policy for planning and conducting audits
Document, communicate and provide audit planning and conduct rules that confine auditors to read only access within the agreed plan, place potentially disruptive activity into maintenance windows or off peak periods, and
4
artefacts
1
held by a system
1
at each review
moderate
to go live
SIEM / log platform
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
- Logs of auditor activity on the system components in scope · SIEM / log platform
periodic reviewEvidence produced at each review
- Access provisioning record showing read only rights granted to auditors · Identity provider / directory
governing documentDocuments that govern the control
- Audit policy defining read only access limits and scheduling constraints · Policy repository / GRC workspace
- Agreed audit plan for a recent customer or third party audit · Vendor register / contract repository
First move
Start with the 1 of 4 artefacts that already live in a system (SIEM / log platform); keep the periodic reviews but log each one as a dated record with a named reviewer.
Common gaps auditors find
- Auditors given standing administrative accounts for convenience
- Intrusive audit activity carried out in peak hours outside any maintenance window
- Auditor sessions not logged, so their activity cannot be reconstructed
- Audit scope agreed verbally with nothing written down
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 sheetCOM-01 Identification of applicable legal, regulatory, self-imposed or contractual requirements · COM-03 Internal audits of the information security management system