Audit Center

Overview

The Audit Center module is a core component of the Risk & Compliance Suite, designed to help organizations plan, conduct, document, and track security audits. This module provides a structured approach to evaluating your security controls, identifying gaps, and implementing improvements to strengthen your security posture.

Security audits are essential for verifying the effectiveness of your security program, demonstrating compliance with regulatory requirements, and identifying opportunities for improvement. The Audit Center module integrates with other components of the Risk & Compliance Suite to provide a comprehensive framework for security assessment and continuous improvement.

Key Features

Audit Planning and Management

• Audit Scheduling - Plan and schedule internal and external security audits

• Audit Scope Definition - Define the boundaries and objectives of each audit

• Audit Team Assignment - Designate auditors and subject matter experts

• Framework-Based Audits - Conduct audits based on standard frameworks (ISO, NIST, etc.)

• Custom Audit Criteria - Create organization-specific audit requirements

Audit Execution

• Control Assessment - Evaluate the implementation and effectiveness of security controls

• Evidence Collection - Gather and organize documentation to support audit findings

• Interview Management - Schedule and document discussions with key personnel

• Testing Documentation - Record the results of control testing activities

• Observation Tracking - Document issues identified during the audit process

Finding Management

• Finding Documentation - Record and categorize issues identified during audits

• Finding Classification - Categorize findings by severity, type, and affected area

• Root Cause Analysis - Identify underlying causes of security deficiencies

• Finding Assignment - Designate responsibility for addressing each finding

• Finding Status Tracking - Monitor the resolution of identified issues

Corrective Action Management

• Corrective Action Planning - Develop specific steps to address audit findings

• Action Assignment - Designate responsibility for implementing corrective actions

• Due Date Tracking - Monitor deadlines for completing remediation activities

• Implementation Verification - Confirm that corrective actions have been implemented

• Effectiveness Assessment - Evaluate whether actions have resolved the underlying issues

Audit Reporting

• Audit Summary Reports - Generate comprehensive documentation of audit activities

• Finding Reports - Create detailed reports of identified issues and recommendations

• Compliance Status Reports - Document adherence to regulatory requirements

• Executive Dashboards - Provide high-level insights for leadership

• Historical Trending - Track audit results and improvements over time

Getting Started

Accessing the Audit Center

1. Log in to your AskInfosec account

2. Navigate to the main dashboard

3. Select "Audit Center" from the main navigation menu

4. You will be directed to the Audit Center dashboard

Audit Center Dashboard

The Audit Center dashboard provides an overview of your organization's audit activities, including:

• Upcoming Audits - Scheduled audits and their status

• Recent Findings - Latest issues identified during audits

• Corrective Actions - Status of remediation activities

• Compliance Status - Overview of adherence to key requirements

• Audit History - Record of completed audits and their results

Managing Audits

Creating a New Audit

To set up a new audit:

1. From the Audit Center dashboard, click the "New Audit" button

2. Enter basic audit information:

   • Audit Name

   • Description

   • Start and End Dates

   • Audit Owner

   • Audit Team Members

3. Select the audit type:

   • Framework-based (e.g., ISO 27001, NIST CSF)

   • Control-specific (selected controls only)

4. If framework-based, select the relevant framework

5. Click "Create" to set up the audit

6. You will be directed to the audit details page for further configuration

Audit Details

The audit details page contains comprehensive information about a specific audit:

1. Basic Information - Name, description, dates, and ownership

2. Audit Scope - Frameworks, controls, or systems being evaluated

3. Audit Team - Individuals involved in conducting the audit

4. Audit Status - Current state of the audit process

5. Related Items - Findings, requests, and corrective actions

Audit Execution

To conduct an audit:

1. Navigate to the audit details page

2. Review the audit scope and objectives

3. For each control or requirement:

   • Review the control description and requirements

   • Collect and evaluate evidence of implementation

   • Document observations and test results

   • Determine compliance status

   • Create findings for identified issues

4. Update the audit status as you progress

5. Complete the audit by generating a summary report

Managing Audit Requests

During an audit, you may need to request information or actions from various stakeholders:

1. From the audit details page, click "New Request"

2. Enter request details:

   • Request Name

   • Description

   • Assigned To

   • Due Date

3. Save the request

4. Track request status and follow up as needed

5. Close the request when completed

Managing Findings

Creating a New Finding

To document an issue identified during an audit:

1. From the audit details page, click "New Finding"

2. Enter finding details:

   • Finding Name

   • Description

   • Severity (High, Medium, Low)

   • Category

   • Assigned To

3. Link the finding to relevant controls or requirements

4. Save the finding

5. The finding will appear in the Findings tab of the audit

Finding Details

The finding details page contains comprehensive information about a specific issue:

1. Basic Information - Name, description, severity, and category

2. Assignment - Individuals responsible for addressing the finding

3. Status - Current state of the finding resolution process

4. Related Items - Associated controls, policies, and corrective actions

5. Attachments - Supporting documentation and evidence

Importing Findings

To import multiple findings from an external source:

1. From the audit details page, click "Import Findings"

2. Select the import format (CSV, Excel)

3. Upload the file containing finding information

4. Map the file columns to the required finding fields

5. Review the imported findings

6. Confirm the import to add the findings to the audit

Managing Corrective Actions

Creating a Corrective Action

To define steps for addressing a finding:

1. From the finding details page, click "New Corrective Action"

2. Enter corrective action details:

   • Action Name

   • Description

   • Root Cause

   • Assigned To

   • Due Date

   • Priority

3. Save the corrective action

4. The action will appear in the Corrective Actions tab of the finding

Corrective Action Details

The corrective action details page contains comprehensive information about a specific remediation activity:

1. Basic Information - Name, description, and root cause

2. Assignment - Individuals responsible for implementing the action

3. Timeline - Due date and detection date

4. Status - Current state of the implementation process

5. Related Items - Associated findings, controls, and evidence

Tracking Corrective Action Progress

To monitor the implementation of corrective actions:

1. Navigate to the Corrective Actions section of the Audit Center

2. View the status of all corrective actions

3. Filter by status, priority, or assignment

4. Update action status as implementation progresses

5. Verify completion by reviewing evidence and testing results

Audit Evidence Management

Adding Evidence to Audits

To document control implementation:

1. Navigate to the audit details page

2. Select the "Evidence" tab

3. Click "Add Evidence"

4. Choose the evidence type:

   • Document upload

   • Link to existing document

   • Screenshot

   • Text description

   • External reference

5. Provide a description explaining how the evidence relates to the audit

6. Upload or link the evidence

7. Save the evidence record

Managing Evidence

To organize and maintain audit evidence:

1. Navigate to the audit details page

2. Select the "Evidence" tab

3. View all evidence associated with the audit

4. Filter evidence by type, date, or control

5. Update or replace outdated evidence

6. Remove irrelevant or obsolete evidence

Evidence Review

During audit assessment, review evidence for:

1. Relevance - Does the evidence directly relate to the control?

2. Completeness - Does it fully demonstrate compliance?

3. Currency - Is the evidence up-to-date?

4. Authenticity - Is the evidence reliable and trustworthy?

5. Sufficiency - Is there enough evidence to support compliance?

Audit Reporting

Generating Audit Reports

To create a comprehensive report of audit activities:

1. Navigate to the audit details page

2. Click "Generate Report"

3. Select the report type:

   • Executive Summary

   • Detailed Audit Report

   • Findings Report

   • Compliance Status Report

4. Choose the report format (PDF, Excel, Word)

5. Generate the report

6. Download or share the report as needed

Audit Dashboards

To visualize audit status and results:

1. Navigate to the Audit Center dashboard

2. View the standard dashboards:

   • Audit Status Overview

   • Finding Distribution

   • Corrective Action Progress

   • Compliance Heatmap

3. Filter dashboards by date range, audit type, or department

4. Export dashboard visualizations for presentations or reports

Integration with Other Modules

Control Management Integration

The Audit Center integrates with Control Management:

1. Select controls from your control inventory for audit scope

2. Update control assessments based on audit results

3. Link findings to specific controls for targeted remediation

4. Track control effectiveness through audit history

Risk Management Integration

The Audit Center integrates with Risk Management:

1. Consider high-priority risks when planning audits

2. Create or update risks based on audit findings

3. Link findings to existing risks for comprehensive tracking

4. Use audit results to refine risk assessments

Policy Management Integration

The Audit Center integrates with Policy Management:

1. Verify policy implementation through audit activities

2. Link findings to policy gaps or non-compliance

3. Update policies based on audit recommendations

4. Demonstrate policy effectiveness through audit results

Best Practices

Audit Planning

• Define clear objectives - Establish specific goals for each audit

• Right-size the scope - Ensure the audit is manageable and focused

• Involve stakeholders - Engage affected teams in planning

• Prepare adequately - Gather necessary information before starting

• Communicate effectively - Ensure all parties understand the process

Audit Execution

• Follow a structured approach - Use consistent methodology

• Document thoroughly - Maintain detailed records of all activities

• Remain objective - Base findings on evidence, not assumptions

• Be respectful - Conduct audits professionally and collaboratively

• Verify information - Confirm observations through multiple sources

Finding Management

• Be specific - Clearly describe each issue and its impact

• Prioritize effectively - Focus on high-risk findings first

• Assign clear ownership - Ensure responsibility for resolution

• Set realistic deadlines - Allow adequate time for remediation

• Follow up consistently - Track progress and verify completion

Corrective Action Management

• Address root causes - Focus on underlying issues, not just symptoms

• Define measurable outcomes - Establish clear success criteria

• Allocate sufficient resources - Ensure teams can implement actions

• Monitor progress - Track implementation status regularly

• Verify effectiveness - Confirm that actions resolve the findings

Troubleshooting

Common Issues

• Scope creep - Keep audits focused on defined objectives

• Insufficient evidence - Ensure adequate documentation is collected

• Delayed responses - Follow up on information requests promptly

• Inconsistent assessments - Use standardized evaluation criteria

• Overdue corrective actions - Escalate when remediation is delayed

Getting Support

If you encounter issues with the Audit Center module:

1. Check the in-app help documentation

2. Contact your organization's system administrator

3. Submit a support ticket through the AskInfosec support portal

Conclusion

Effective audit management is essential for verifying the effectiveness of your security program, demonstrating compliance with regulatory requirements, and identifying opportunities for improvement. The Audit Center module provides the tools and structure needed to plan, conduct, document, and track security audits in a consistent, comprehensive manner.

By following the processes outlined in this guide, you can establish a robust audit program that helps your organization identify security gaps, implement improvements, and demonstrate due diligence in protecting your information assets.