Gather and review appropriate documentation, including prior audit reports, remediation plans, and system security plans
2
Identify key personnel to interview
3
Arrange interviews with the key personnel
4
Perform analysis of policies, procedures, and controls
5
Approval: Policies and Procedures Evaluation
6
Collect samples from the system or process to be audited
7
Analyze the samples for compliance with NIST standards
8
Perform site inspections to assess physical security measures
9
Analyze and evaluate data collected from inspections and sample analysis
10
Prepare preliminary audit findings report
11
Approval: Preliminary Audit Findings
12
Discuss preliminary findings with the audited entity
13
Revise audit findings as necessary based on entity feedback
14
Prepare final audit report
15
Delivery of the final report to the managers
16
Approval: Final NIST 800-53a Audit Report
17
Provide suggestions for remediation
18
Pursue agreement on remediation plan
19
Observe the implementation of the remediation plan
20
Verify the effectiveness of the remediation plan by reassessing the audited area
Gather and review appropriate documentation, including prior audit reports, remediation plans, and system security plans
Review and gather relevant documentation including prior audit reports, remediation plans, and system security plans. This task is critical to understand the audit history, identify any previous issues or recommendations, and gain insights into the current security framework.\n\nWhat documentation do you need to review? What information should you be looking for? How can this information impact the assessment process?\n\nRemember to refer to the appropriate templates and guidelines provided.
Identify key personnel to interview
Identify the key personnel relevant to the audit and assessment process. These individuals will provide valuable insights into the organization's IT security practices, policies, and procedures.\n\nWho are the key personnel for this assessment? What roles do they play in the organization? How can they contribute to the assessment process?\n\nMake sure to coordinate with the appropriate departments and teams to ensure that all relevant personnel are identified.
Arrange interviews with the key personnel
Schedule and arrange interviews with the identified key personnel. These interviews will provide an opportunity to gather in-depth information about the organization's IT security framework, practices, and challenges.\n\nWhen are the interviews scheduled? Who will conduct the interviews? What questions or topics should be covered during the interviews?\n\nMake sure to allocate sufficient time for each interview and send out the necessary meeting invitations.
1
IT security practices
2
Policies and procedures
3
Challenges and concerns
4
Incident response
5
Training and awareness
Perform analysis of policies, procedures, and controls
Analyze the organization's policies, procedures, and controls to assess their compliance with NIST standards. This task involves a detailed review of the documented framework and its implementation in practice.\n\nWhat policies, procedures, and controls should be analyzed? How can you determine their effectiveness and adherence to standards? What tools or resources can assist in this analysis?\n\nUse the provided templates and guidelines to ensure a thorough analysis.
1
Access control policy
2
Security incident response policy
3
Physical security policy
4
Encryption policy
5
Configuration management policy
Approval: Policies and Procedures Evaluation
Will be submitted for approval:
Perform analysis of policies, procedures, and controls
Will be submitted
Collect samples from the system or process to be audited
Collect samples from the system or process under audit to assess their compliance with NIST standards. These samples will provide insights into the system's configuration, security measures, and adherence to established procedures.\n\nWhat samples should be collected? How can these samples represent the overall system or process? What challenges may arise in gathering the samples?\n\nEnsure that the samples are representative and reflect the system's usage and security controls.
Analyze the samples for compliance with NIST standards
Analyze the collected samples to assess their compliance with NIST standards and applicable policies. This analysis will provide insights into any deviations, vulnerabilities, or areas of improvement in the system's security framework.\n\nWhat criteria should be used for analysis? What NIST standards should be referenced? How can deviations or vulnerabilities be identified?\n\nUse the provided guidelines and analysis tools for a comprehensive assessment.
1
NIST SP 800-53
2
NIST SP 800-171
3
NIST SP 800-37
4
NIST SP 800-30
5
NIST SP 800-63
1
Manual review
2
Automated scanning
3
Vulnerability assessment
4
Penetration testing
5
Code review
Perform site inspections to assess physical security measures
Conduct site inspections to assess the physical security measures implemented by the organization. These inspections will provide insights into the adequacy of controls, access restrictions, and protection mechanisms in place.\n\nWhich sites should be inspected? What physical security measures should be evaluated? How can the effectiveness of these measures be determined?\n\nEnsure that the inspections cover relevant areas and include a comprehensive evaluation of physical security controls.
1
Headquarters
2
Data center
3
Branch offices
4
Remote facilities
5
Storage facilities
1
Access control systems
2
Surveillance cameras
3
Alarms and sensors
4
Lock systems
5
Visitor management
Analyze and evaluate data collected from inspections and sample analysis
Analyze and evaluate the data collected from site inspections and sample analysis to assess the overall security posture. This analysis will help identify trends, patterns, and areas requiring immediate attention or remediation.\n\nWhat data points should be considered during the analysis? How can the analysis provide actionable insights? What tools or techniques can be used to analyze the data?\n\nUse the provided analysis templates and guidelines for an effective evaluation.
Prepare preliminary audit findings report
Prepare a preliminary audit findings report based on the analysis and evaluation conducted. This report will outline the identified issues, deviations, and areas requiring remediation.\n\nWhat format should the report follow? What sections should be included in the report? How can the report effectively communicate the findings?\n\nUse the provided report template as a starting point and ensure that the report is clear, concise, and actionable.
Approval: Preliminary Audit Findings
Will be submitted for approval:
Prepare preliminary audit findings report
Will be submitted
Discuss preliminary findings with the audited entity
Schedule a meeting with the audited entity to discuss the preliminary audit findings. This meeting provides an opportunity to obtain feedback, clarify any misconceptions, and ensure a mutual understanding of the identified issues.\n\nWhen is the meeting scheduled? Who will be attending the meeting? What specific points or findings should be discussed during the meeting?\n\nRemember to approach the meeting in a collaborative manner and seek input from the audited entity.
Revise audit findings as necessary based on entity feedback
Incorporate the feedback received during the discussion with the audited entity to revise the preliminary audit findings. This step ensures that the final audit report accurately reflects the entity's perspective and addresses any concerns or clarifications.\n\nHow can the feedback influence the revision process? What specific changes or updates should be made based on the feedback? How can the revised findings be aligned with the NIST standards?\n\nRemember to maintain a transparent and collaborative approach throughout the revision process.
1
Fully compliant
2
Partial compliance
3
Non-compliant
4
Not applicable
5
Needs further assessment
Prepare final audit report
Prepare the final audit report based on the revised audit findings. This report summarizes the findings, recommendations, and remediation plan for the audited entity to improve their IT security framework and practices.\n\nWhat format should the report follow? What sections should be included in the report? How can the report effectively communicate the final findings and recommendations?\n\nUse the provided report template and incorporate the necessary updates based on the revision process.
Delivery of the final report to the managers
Deliver the final audit report to the relevant managers or stakeholders. This step ensures that the findings and recommendations are communicated to the appropriate individuals who can initiate the remediation process.\n\nWho are the intended recipients of the final report? How should the report be delivered? What additional information or instructions should accompany the report?\n\nComplete any required documentation or approvals before proceeding with the delivery.
Approval: Final NIST 800-53a Audit Report
Will be submitted for approval:
Prepare final audit report
Will be submitted
Provide suggestions for remediation
Based on the final audit findings, provide suggestions for remediation to address the identified issues and improve the organization's IT security practices. These suggestions should be practical, actionable, and aligned with the NIST standards.\n\nWhat specific areas or issues should be addressed in the remediation plan? How can the suggestions effectively mitigate the identified risks? Are there any additional resources or guidance available for the remediation process?\n\nRemember to consider the organization's unique requirements and capabilities when formulating the suggestions.
Pursue agreement on remediation plan
Work with the audited entity to reach an agreement on the remediation plan proposed to address the identified issues. This step ensures mutual understanding, commitment, and alignment towards improving the organization's IT security framework.\n\nWhat specific aspects of the proposed remediation plan need agreement? How can any disagreements or concerns be addressed and resolved? What documentation or sign-off is required for the agreement?\n\nMaintain effective communication and collaboration throughout the agreement process.
Observe the implementation of the remediation plan
Observe and monitor the implementation of the agreed-upon remediation plan to ensure that the necessary actions are being taken to address the identified issues. This step involves regular check-ins, progress assessments, and coordination with the audited entity.\n\nHow often should the implementation progress be monitored? What checkpoints or milestones should be considered during the observation? How can any challenges or delays in the implementation be addressed?\n\nMaintain open communication and provide support as needed throughout the implementation process.
Verify the effectiveness of the remediation plan by reassessing the audited area
Reassess the audited area to verify the effectiveness of the implemented remediation plan. This step ensures that the identified issues have been successfully addressed, and the IT security framework aligns with the NIST standards.\n\nWhat criteria should be used to assess the effectiveness of the remediation plan? How can the verification process be conducted? Are there any specific tools or techniques that should be utilized?\n\nRefer to the initial audit findings and track the resolution of identified issues during the verification process.
