ISO 27001 Audit Prep

# /cs:iso27001-audit-prep — ISO 27001 ISMS Audit Forcing Questions **Command:** `/cs:iso27001-audit-prep <scope>` The ISO 27001 ISMS auditor pressure-tests any ISMS work. Six sample-driven questions before any internal audit, stage 1 readiness, or surveillance audit. ## When to Run - Before annual Clause 9.2 internal audit - Before stage 1 / stage 2 ISO 27001 certification audit - Before surveillance audit (year 2 / year 3) - After material change to ISMS scope (new business unit, new product line, new SaaS adoption) - Post-incident (breach triggers ad-hoc ISMS audit) - Quarterly during high-growth phase ## The Six ISMS Questions ### 1. What's the audit scope, and is rolling 3-year coverage on track? **No 3-year coverage discipline, no defensible programme.** - Every Clause 4-10 + every applicable Annex A control must be audited at least once per 3-year cycle - Run `isms_audit_scheduler.py` in `ra-qm-team/skills/isms-audit-expert/` - Confirm auditor independence — no self-audit on any sample ### 2. When was the risk register last refreshed, and are treatments linked to Annex A controls? **Stale risk register = certification finding.** - Quarterly refresh expected; annual minimum - Every high/critical risk must link to ≥ 1 Annex A control treating it - Residual risk acceptance documented + signed - Review against `iso27001_audit_playbook.md` for stage 1 expectations ### 3. Show me the access review records — quarterly cadence, the last 4 quarters. **Most-cited finding area.** - Annex A.5.15 + A.8.2 + A.8.3 access controls - Sample real records pulled from Okta / IAM, not curated audit-prep packs - For each terminated employee in last 90 days: deprovisioning evidence within 24-hour SLA - Privileged access reviewed at finer granularity ### 4. What's the supplier inventory + last review evidence? **Second-most-cited finding area.** - Annex A.5.19-A.5.21 supplier management - Critical SaaS suppliers reviewed at least annually - DPAs signed for personal-data sub-processors (cross-check with cs-dpo-gdpr) - AI-specific contract clauses where third-party AI services in use (cross-check with cs-aims-iso42001) ### 5. Where's the incident response evidence + post-incident review? **A.5.24-27 + A.6.8 — high-stakes audit area.** - Severity definitions documented + consistently applied - Last 5 incidents have post-incident review (PIR) within 30-day SLA - GDPR Article 33 / 34 notification timing aligned with A.5.24 (cross-check with cs-dpo-gdpr) - Blameless retro culture; not punitive ### 6. What's the management review cadence + inputs? **Clause 9.3 required inputs are prescriptive — easy to miss.** - Required inputs: audit results, risks, performance, nonconformities, opportunities - Schedule: annual minimum; quarterly preferred for mature programs - Outputs documented + tracked to closure - Integrated review across frameworks (per `multi_framework_audit_playbook.md`) preferred to separate reviews ## Workflow ```bash # 1. Audit programme planning python ra-qm-team/skills/isms-audit-expert/scripts/isms_audit_scheduler.py audit_scope.json # 2. Mock audit for readiness check python ../../skills/compliance-os/scripts/audit_simulator.py iso27001_scope.json # 3. Cross-framework reuse (SOC 2 = 75% overlap; ISO 42001 = 60% reuse) python ../../skills/compliance-os/scripts/cross_framework_mapper.py program.json ``` ## Output Format ```markdown # ISO 27001 Audit Prep: <scope> **Date:** YYYY-MM-DD ## The Decision Being Made [programme-plan | finding-severity | cert-readiness | incident-followup] ## Audit Programme Status - Clauses scheduled this year: <list> - Annex A controls scheduled: <count> - Rolling 3-year coverage: clean | gaps in <list> - Auditor independence: clean | issues in <list> ## Risk Register Health - Last refresh: YYYY-MM-DD - High/critical risks without Annex A control link: N - Residual risk acceptance documentation: complete | gaps ## High-Stakes Controls Status - A.5.15 + A.8.2 + A.8.3 access control: pass/fail with sample - A.5.19-A.5.21 supplier mgmt: pass/fail with sample - A.5.24-27 + A.6.8 incident response: pass/fail with sample - A.8.15-16 logging: pass/fail with sample ## Management Review Status - Last review date: YYYY-MM-DD - Required Article 9.3 inputs present: yes/no - Open action items past due: N ## Cross-Framework Impact - SOC 2 controls affected: <list> - ISO 42001 controls affected (if applicable): <list> - GDPR Article 32 controls affected: <list> ## Verdict 🟢 READY | 🟡 CLOSE-CRITICALS-FIRST | 🔴 NOT-READY ## Top 3 Actions [3 concrete next steps with owner + corrective-action timeline] ``` ## Routing - `/cs:compliance-readiness` — for multi-framework view - `/cs:soc2-audit-prep` — for SOC 2 cross-walk pair (75% overlap) - `/cs:aims-audit` — for ISO 42001 AIMS cross-walk - `/cs:gdpr-audit-prep` — for Article 32 organizational measures overlap - `/cs:ciso-review` — for executive cybersecurity strategy - `/cs:decide` — to log the verdict ## Related - Agent: [`cs-ciso-iso27001`](../../agents/cs-ciso-iso27001.md) - Skill: [`isms-audit-expert`](../../../ra-qm-team/skills/isms-audit-expert/SKILL.md) - Playbook: [iso27001_audit_playbook.md](../../../ra-qm-team/skills/isms-audit-expert/references/iso27001_audit_playbook.md) - Adjacent: `../soc2-audit-prep/`, `../aims-audit/`, `../gdpr-audit-prep/`, `../compliance-readiness/` --- **Version:** 1.0.0