Audit Policy Template

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Adopting a full set of information security policies is a critical step in ensuring that every department and employee understands their role in helping protect company, customer, and employee data.

Please use these policy templates as a way to get your organization on the right track when it comes to full policy creation and adoption.

Information security resources that create, collect, store, and/or process confidential information should be reviewed on a regular basis. These audits help to understand deficiencies in security programs and recommendations for improvement.

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Purpose

The purpose of the (Company) Auditing Policy is to establish the requirements for conducting audit-related reviews of information security resources at (Company).

Audience

The (Company) Auditing Policy applies to any individual or process that participates in (Company) Information Security audits in any tangible manner.

Policy

All information resources that create, collect, store, and/or process confidential information must be audited on a regular basis, according to a documented schedule.
The scope and conduct of information resource audits must be done in accordance with documented standards and/or procedures.
System security audits must be led by information security personnel with the specialized training necessary to conduct such audits.
Personnel conducting system security audits should communicate the following information to information resource owners, custodians, and users, prior to conducting an audit:
- The date in which the audit will begin,
- The date in which the audit will end,
- The scope of the audit,
- The purpose of the audit,
- The potential, even if slight, of service disruption.
Information resource owners and custodians must provide reasonable access to information resources in order for audit personnel to conduct security audits in accordance with the documented purpose and scope of the audit.
All pertinent security audit activities and results must be documented.
Every security audit deficiency must be accompanied with a recommendation.
Audit summary reports must be created for each system security audit conducted, and the reports must be provided to management at the conclusion of the audit.
The security of exchanges of information, are the subject of policy development and compliance audits.

Definitions

See Appendix A: Definitions

References

ISO 27002: 12.7.1, 18.2.3
NIST CSF: PR.IP, DE.DP

Waivers

Waivers from certain policy provisions may be sought following the (Company) Waiver Process.

Enforcement

Personnel found to have violated this policy may be subject to disciplinary action, up to and including termination of employment, and related civil or criminal penalties.

Any vendor, consultant, or contractor found to have violated this policy may be subject to sanctions up to and including removal of access rights, termination of contract(s), and related civil or criminal penalties.