policy Enterprise

Audit and Compliance Monitoring Policy

Comprehensive policy establishing structured audit and compliance monitoring for ISMS maturity, regulatory readiness, and continual improvement.

Overview

This policy establishes a comprehensive, risk-based audit and compliance monitoring program, ensuring the effectiveness of security controls and alignment with global regulatory frameworks across all relevant systems, assets, and third-party relationships.

Robust Audit Structure

Implements a risk-driven, systematic program ensuring the integrity and maturity of your Information Security Management System.

Regulatory Alignment

Aligns audit practices with global standards like ISO 27001, GDPR, NIS2, DORA, and SOC 2.

Clear Role Assignment

Defines comprehensive responsibilities for audit leads, CISO, management, IT teams, and third-party coordinators.

Evidence-Based Monitoring

Ensures evidence collection, reporting, and retention processes support certifications and regulatory reviews.

Read Full Overview
The Audit and Compliance Monitoring Policy serves as the foundational document for establishing and governing an organization’s program of structured auditing and compliance monitoring across its Information Security Management System (ISMS). The policy’s central purpose is to validate the effectiveness of security and privacy controls, ensure alignment with multiple applicable standards and legal frameworks, detect and address compliance gaps, and foster continual improvement toward certification and regulatory readiness. The policy applies broadly to all internal business units, physical and cloud environments, applications, data assets, and third-party service providers holding audit or compliance obligations. It covers all forms of audits, including internal, external certification, technical compliance assessments, and third-party supplier evaluations, as well as the processes for corrective and preventive actions (CAPA), metrics reporting, and control of audit evidence. Governance is a critical focus. The policy mandates an integrated Audit and Compliance Monitoring Program within the ISMS, encompassing annual risk-based Audit Plans, regular audit cycles appropriate to asset criticality, and strict documentation practices. An Audit Register must be kept, tracking audit findings, responsible parties, and CAPA status, with all evidence securely stored. Procedural requirements ensure impartiality and objectivity consistent with leading audit standards, and external reviews are to be coordinated formally by Compliance and CISO roles for regulatory assurance. The policy details responsibilities for a diverse array of stakeholders, including internal audit leads, management, IT teams, department heads, and procurement/third-party coordinators, each with defined duties around audit cooperation, evidence provision, remediation, and third-party oversight. It also prescribes reliance on automation tools for technical compliance and vulnerability monitoring, and delineates exception handling, risk treatment protocols, and the escalation process for non-compliance. This policy is explicitly mapped to global standards, including ISO/IEC 27001:2022 (with specific coverage of internal audit, management review, and CAPA requirements), ISO/IEC 27002:2022 (controls for review and audit logging), NIST SP 800-53 (control assessments and monitoring), GDPR (evidence and audit trail mandates), NIS2 and DORA (EU directives for regulated industries), and COBIT 2019 (monitoring and compliance). Supporting policies for risk management, evidence retention, change management, cryptographic controls, vendor oversight, incident response, and business continuity are directly referenced, ensuring that the audit program reinforces broader governance objectives and regulatory compliance across the organization.

Policy Diagram

Audit and Compliance Monitoring Policy diagram showing the flow from audit planning, evidence collection, findings and CAPA tracking, exception handling, to KPI dashboard reporting and governance reviews.

Click diagram to view full size

What's Inside

Scope and Rules of Engagement

Governance Requirements

Internal and External Audit Methodology

Corrective and Preventive Actions (CAPA)

Technical Compliance Monitoring

Third-Party and Supplier Audits

Framework Compliance

🛡️ Supported Standards & Frameworks

This product is aligned with the following compliance frameworks, with detailed clause and control mappings.

Framework Covered Clauses / Controls
ISO/IEC 27001:2022
ISO/IEC 27002:2022
NIST SP 800-53 Rev.5
EU GDPR
Article 24Article 32Article 33
EU NIS2
EU DORA
COBIT 2019

Related Policies

Information Security Policy

Defines the ISMS and establishes accountability for compliance and continuous improvement.

Change Management Policy

Ensures audit visibility into infrastructure and configuration changes affecting control environments.

Risk Management Policy

Integrates audit outcomes into enterprise risk evaluation and treatment activities.

Data Retention And Disposal Policy

Governs retention of audit evidence, logs, and compliance records.

Cryptographic Controls Policy

Supports secure storage and transfer of sensitive audit data.

Third Party And Supplier Security Policy

Covers audit rights, assurance documentation, and compliance oversight of vendors.

Incident Response Policy

Aligns audits of incident handling processes with ISMS assurance goals.

Business Continuity And Disaster Recovery Policy

Requires verification of continuity testing and DRP compliance during audit cycles.

About Clarysec Policies - Audit and Compliance Monitoring Policy

Effective security governance requires more than just words; it demands clarity, accountability, and a structure that scales with your organization. Generic templates often fail, creating ambiguity with long paragraphs and undefined roles. This policy is engineered to be the operational backbone of your security program. We assign responsibilities to the specific roles found in a modern enterprise, including the CISO, IT Security, and relevant committees, ensuring clear accountability. Every requirement is a uniquely numbered clause (e.g., 5.1.1, 5.1.2). This atomic structure makes the policy easy to implement, audit against specific controls, and safely customize without affecting document integrity, transforming it from a static document into a dynamic, actionable framework.

Audit Trail Integrity

Mandates encrypted, tamper-evident retention of audit logs and findings, protecting evidence from unauthorized changes.

Exception and Risk Workflow

Includes a structured exception process with CISO and legal reviews, ensuring risks are controlled and documented.

Continuous Improvement Engine

Links audit outcomes directly to corrective actions, KPIs, and risk management for ongoing security program evolution.

Frequently Asked Questions

Built for Leaders, By Leaders

This policy was authored by a security leader with 25+ years of experience deploying and auditing ISMS frameworks for global enterprises. It's designed not just to be a document, but a defensible framework that stands up to auditor scrutiny.

Authored by an expert holding:

MSc Cyber Security, Royal Holloway UoL CISM CISA ISO 27001:2022 Lead Auditor & Implementer CEH

Coverage & Topics

🏢 Target Departments

IT Security Risk Compliance Audit

🏷️ Topic Coverage

Compliance Management Internal Audit Continual Improvement Security Operations Monitoring and Logging
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Audit and Compliance Monitoring Policy

Product Details

Type: policy
Category: Enterprise
Standards: 7