Audit Framework¶

Comprehensive audit framework for Anya Enterprise security controls, compliance monitoring, and risk assessment.

Overview¶

This document outlines the audit framework used to evaluate the effectiveness of security controls, ensure compliance with regulatory requirements, and identify areas for improvement in the Anya Enterprise security posture.

Audit Types¶

Internal Security Audits¶

Control Effectiveness Testing¶

interface SecurityControl {
  id: string;
  category: 'preventive' | 'detective' | 'corrective';
  subcategory: string;
  description: string;
  objective: string;
  implementation_status: 'not_implemented' | 'partially_implemented' | 'implemented' | 'monitored';
  testing_frequency: 'monthly' | 'quarterly' | 'semi_annually' | 'annually';
  last_test_date: Date;
  test_results: ControlTestResult[];
  effectiveness_rating: 'ineffective' | 'partially_effective' | 'effective';
}

interface ControlTestResult {
  test_date: Date;
  test_method: 'inquiry' | 'observation' | 'inspection' | 'reperformance';
  sample_size: number;
  exceptions: number;
  findings: string[];
  conclusion: 'passed' | 'failed' | 'deficient';
  remediation_required: boolean;
}

class SecurityControlAuditor {
  async testControl(control: SecurityControl): Promise<ControlTestResult> {
    const testProcedure = await this.getTestProcedure(control.id);
    const sample = await this.selectTestSample(control, testProcedure.sample_size);

    const testResults = [];
    for (const item of sample) {
      const result = await this.performTest(item, testProcedure);
      testResults.push(result);
    }

    const exceptions = testResults.filter(r => !r.passed).length;
    const conclusion = this.evaluateTestResults(testResults, exceptions);

    return {
      test_date: new Date(),
      test_method: testProcedure.method,
      sample_size: sample.length,
      exceptions,
      findings: this.extractFindings(testResults),
      conclusion,
      remediation_required: conclusion !== 'passed'
    };
  }
}

Access Control Audits¶

class AccessControlAuditor:
    def __init__(self):
        self.access_review_period = timedelta(days=90)
        self.privileged_access_review_period = timedelta(days=30)

    async def perform_access_review(self) -> AccessReviewReport:
        """Comprehensive access control audit"""

        # User account review
        user_accounts = await self.review_user_accounts()

        # Privileged access review
        privileged_accounts = await self.review_privileged_accounts()

        # Role-based access control review
        rbac_review = await self.review_rbac_assignments()

        # Orphaned account detection
        orphaned_accounts = await self.detect_orphaned_accounts()

        # Inactive account review
        inactive_accounts = await self.review_inactive_accounts()

        return AccessReviewReport(
            review_date=datetime.now(),
            user_accounts_reviewed=len(user_accounts),
            privileged_accounts_reviewed=len(privileged_accounts),
            rbac_violations=rbac_review.violations,
            orphaned_accounts=orphaned_accounts,
            inactive_accounts=inactive_accounts,
            recommendations=self.generate_access_recommendations(
                user_accounts, privileged_accounts, rbac_review
            )
        )

    async def review_user_accounts(self) -> List[UserAccountReview]:
        """Review all user accounts for compliance"""
        accounts = await self.get_all_user_accounts()
        reviews = []

        for account in accounts:
            review = UserAccountReview(
                user_id=account.id,
                username=account.username,
                last_login=account.last_login,
                account_status=account.status,
                assigned_roles=account.roles,
                manager_approval=await self.check_manager_approval(account),
                access_appropriate=await self.validate_access_appropriateness(account),
                findings=[]
            )

            # Check for violations
            if not review.manager_approval:
                review.findings.append("Missing manager approval for access")

            if not review.access_appropriate:
                review.findings.append("Access level inappropriate for role")

            if account.last_login < datetime.now() - self.access_review_period:
                review.findings.append("Account inactive for extended period")

            reviews.append(review)

        return reviews

Compliance Audits¶

SOC 2 Type II Audit¶

interface SOC2AuditProcedure {
  control_id: string;
  trust_service_criteria: 'security' | 'availability' | 'processing_integrity' | 'confidentiality' | 'privacy';
  test_objective: string;
  test_procedures: TestProcedure[];
  population_definition: string;
  sample_selection_method: 'judgmental' | 'statistical' | 'haphazard';
  testing_period: DateRange;
}

class SOC2Auditor {
  async performSOC2Audit(): Promise<SOC2AuditReport> {
    const auditPeriod = this.getAuditPeriod();
    const controls = await this.getSOC2Controls();

    const controlTestResults = [];
    for (const control of controls) {
      const procedure = await this.getAuditProcedure(control.id);
      const result = await this.testSOC2Control(control, procedure);
      controlTestResults.push(result);
    }

    // Service organization description
    const serviceDescription = await this.prepareServiceDescription();

    // Management assertions
    const managementAssertions = await this.getManagementAssertions();

    // Independent service auditor's report
    const auditorReport = await this.prepareAuditorReport(controlTestResults);

    return {
      report_type: 'SOC 2 Type II',
      audit_period: auditPeriod,
      service_organization: serviceDescription,
      management_assertions: managementAssertions,
      control_test_results: controlTestResults,
      auditor_report: auditorReport,
      overall_opinion: this.determineOverallOpinion(controlTestResults)
    };
  }

  async testSOC2Control(control: SecurityControl, procedure: SOC2AuditProcedure): Promise<SOC2ControlTestResult> {
    // Design effectiveness testing
    const designTest = await this.testControlDesign(control);

    // Operating effectiveness testing
    const operatingTest = await this.testControlOperation(control, procedure);

    return {
      control_id: control.id,
      trust_service_criteria: procedure.trust_service_criteria,
      design_effectiveness: designTest,
      operating_effectiveness: operatingTest,
      test_procedures_performed: procedure.test_procedures,
      exceptions_noted: operatingTest.exceptions,
      conclusion: this.determineControlConclusion(designTest, operatingTest)
    };
  }
}

GDPR Compliance Audit¶

class GDPRAuditor:
    def __init__(self):
        self.gdpr_articles = self.load_gdpr_articles()
        self.audit_checklist = self.load_gdpr_audit_checklist()

    async def perform_gdpr_audit(self) -> GDPRAuditReport:
        """Comprehensive GDPR compliance audit"""

        audit_results = {}

        # Data processing activities audit
        processing_audit = await self.audit_data_processing_activities()
        audit_results['processing_activities'] = processing_audit

        # Consent management audit
        consent_audit = await self.audit_consent_management()
        audit_results['consent_management'] = consent_audit

        # Data subject rights audit
        rights_audit = await self.audit_data_subject_rights()
        audit_results['data_subject_rights'] = rights_audit

        # Data protection by design and by default
        privacy_by_design_audit = await self.audit_privacy_by_design()
        audit_results['privacy_by_design'] = privacy_by_design_audit

        # Data breach procedures audit
        breach_procedures_audit = await self.audit_breach_procedures()
        audit_results['breach_procedures'] = breach_procedures_audit

        # Data Protection Officer audit
        dpo_audit = await self.audit_dpo_function()
        audit_results['dpo_function'] = dpo_audit

        return GDPRAuditReport(
            audit_date=datetime.now(),
            auditor=self.get_auditor_info(),
            audit_scope='Full GDPR compliance assessment',
            audit_results=audit_results,
            overall_compliance_score=self.calculate_compliance_score(audit_results),
            high_priority_findings=self.extract_high_priority_findings(audit_results),
            remediation_plan=await self.create_remediation_plan(audit_results)
        )

    async def audit_data_processing_activities(self) -> ProcessingActivitiesAudit:
        """Audit data processing activities for GDPR compliance"""

        processing_activities = await self.get_processing_activities()
        findings = []

        for activity in processing_activities:
            # Check for lawful basis
            if not activity.lawful_basis:
                findings.append({
                    'activity_id': activity.id,
                    'severity': 'high',
                    'finding': 'No lawful basis documented for processing activity',
                    'article': 'Article 6'
                })

            # Check purpose limitation
            if not activity.specified_purposes:
                findings.append({
                    'activity_id': activity.id,
                    'severity': 'medium',
                    'finding': 'Processing purposes not clearly specified',
                    'article': 'Article 5(1)(b)'
                })

            # Check data minimization
            if not await self.verify_data_minimization(activity):
                findings.append({
                    'activity_id': activity.id,
                    'severity': 'medium',
                    'finding': 'Data collection appears excessive for stated purposes',
                    'article': 'Article 5(1)(c)'
                })

        return ProcessingActivitiesAudit(
            activities_reviewed=len(processing_activities),
            compliant_activities=len(processing_activities) - len(findings),
            findings=findings,
            recommendations=self.generate_processing_recommendations(findings)
        )

Technical Audits¶

Vulnerability Assessments¶

interface VulnerabilityAssessment {
  assessment_id: string;
  assessment_type: 'internal' | 'external' | 'web_application' | 'wireless' | 'database';
  scope: AssessmentScope;
  methodology: string;
  tools_used: string[];
  assessment_period: DateRange;
  vulnerabilities_found: Vulnerability[];
  risk_summary: RiskSummary;
}

class VulnerabilityAuditor {
  async performVulnerabilityAssessment(scope: AssessmentScope): Promise<VulnerabilityAssessment> {
    const assessmentId = this.generateAssessmentId();
    const tools = this.selectAssessmentTools(scope.type);

    // Network discovery
    const discoveredAssets = await this.discoverAssets(scope);

    // Vulnerability scanning
    const scanResults = [];
    for (const tool of tools) {
      const result = await this.runVulnerabilityScan(tool, discoveredAssets);
      scanResults.push(result);
    }

    // Consolidate and deduplicate findings
    const vulnerabilities = await this.consolidateFindings(scanResults);

    // Risk assessment
    const riskSummary = await this.assessVulnerabilityRisk(vulnerabilities);

    // Manual verification of critical findings
    const verifiedVulnerabilities = await this.verifyFindings(vulnerabilities);

    return {
      assessment_id: assessmentId,
      assessment_type: scope.type,
      scope,
      methodology: 'NIST SP 800-115',
      tools_used: tools.map(t => t.name),
      assessment_period: {
        start_date: new Date(),
        end_date: new Date()
      },
      vulnerabilities_found: verifiedVulnerabilities,
      risk_summary: riskSummary
    };
  }

  async assessVulnerabilityRisk(vulnerabilities: Vulnerability[]): Promise<RiskSummary> {
    const riskCounts = {
      critical: 0,
      high: 0,
      medium: 0,
      low: 0,
      informational: 0
    };

    for (const vuln of vulnerabilities) {
      const risk = this.calculateCVSSRisk(vuln.cvss_score);
      riskCounts[risk]++;
    }

    return {
      total_vulnerabilities: vulnerabilities.length,
      risk_distribution: riskCounts,
      business_risk_score: this.calculateBusinessRisk(vulnerabilities),
      recommended_actions: this.generateRecommendations(vulnerabilities)
    };
  }
}

Penetration Testing¶

class PenetrationTestAuditor:
    def __init__(self):
        self.test_methodology = "OWASP Testing Guide v4.0"
        self.frameworks = ["PTES", "NIST SP 800-115", "OWASP"]

    async def perform_penetration_test(self, scope: PentestScope) -> PenetrationTestReport:
        """Comprehensive penetration testing assessment"""

        # Pre-engagement phase
        pre_engagement = await self.pre_engagement_activities(scope)

        # Intelligence gathering
        intelligence = await self.intelligence_gathering(scope)

        # Threat modeling
        threat_model = await self.create_threat_model(scope, intelligence)

        # Vulnerability analysis
        vuln_analysis = await self.vulnerability_analysis(scope)

        # Exploitation phase
        exploitation_results = await self.exploitation_phase(vuln_analysis)

        # Post-exploitation
        post_exploitation = await self.post_exploitation_activities(exploitation_results)

        # Reporting
        return PenetrationTestReport(
            engagement_id=self.generate_engagement_id(),
            test_dates=scope.test_period,
            scope_description=scope.description,
            methodology=self.test_methodology,
            executive_summary=self.create_executive_summary(exploitation_results),
            technical_findings=exploitation_results,
            risk_analysis=self.analyze_risk(exploitation_results),
            remediation_recommendations=await self.create_remediation_plan(exploitation_results),
            appendices={
                'intelligence_gathering': intelligence,
                'vulnerability_analysis': vuln_analysis,
                'post_exploitation': post_exploitation
            }
        )

    async def exploitation_phase(self, vulnerabilities: List[Vulnerability]) -> List[ExploitResult]:
        """Attempt to exploit identified vulnerabilities"""

        exploit_results = []

        for vuln in vulnerabilities:
            if vuln.severity in ['critical', 'high']:
                # Attempt exploitation
                exploit_result = await self.attempt_exploitation(vuln)
                if exploit_result.successful:
                    # Document proof of concept
                    poc = await self.document_proof_of_concept(exploit_result)
                    exploit_result.proof_of_concept = poc

                exploit_results.append(exploit_result)

        return exploit_results

Audit Planning and Scheduling¶

Annual Audit Plan¶

interface AnnualAuditPlan {
  plan_year: number;
  planned_audits: PlannedAudit[];
  resource_allocation: ResourceAllocation;
  risk_assessment: AuditRiskAssessment;
  compliance_requirements: ComplianceRequirement[];
}

interface PlannedAudit {
  audit_id: string;
  audit_type: 'internal' | 'external' | 'vendor';
  scope: string[];
  planned_start_date: Date;
  estimated_duration: number;
  assigned_auditors: string[];
  budget_allocated: number;
  priority: 'high' | 'medium' | 'low';
  regulatory_driven: boolean;
}

class AuditPlanner {
  async createAnnualPlan(year: number): Promise<AnnualAuditPlan> {
    // Risk-based audit planning
    const riskAssessment = await this.performAuditRiskAssessment();

    // Regulatory requirements mapping
    const complianceRequirements = await this.mapComplianceRequirements();

    // Resource capacity planning
    const resourceAllocation = await this.planResourceAllocation();

    // Schedule optimization
    const plannedAudits = await this.optimizeAuditSchedule(
      riskAssessment,
      complianceRequirements,
      resourceAllocation
    );

    return {
      plan_year: year,
      planned_audits: plannedAudits,
      resource_allocation: resourceAllocation,
      risk_assessment: riskAssessment,
      compliance_requirements: complianceRequirements
    };
  }
}

Risk-Based Audit Selection¶

class RiskBasedAuditSelector:
    def __init__(self):
        self.risk_factors = [
            'inherent_risk',
            'control_risk',
            'detection_risk',
            'regulatory_changes',
            'business_changes',
            'prior_audit_findings'
        ]

    async def prioritize_audit_areas(self, business_units: List[BusinessUnit]) -> List[AuditPriority]:
        """Prioritize audit areas based on risk assessment"""

        priorities = []

        for unit in business_units:
            risk_score = await self.calculate_audit_risk_score(unit)

            priority = AuditPriority(
                business_unit=unit.name,
                risk_score=risk_score,
                priority_level=self.determine_priority_level(risk_score),
                recommended_frequency=self.determine_audit_frequency(risk_score),
                justification=self.generate_risk_justification(unit, risk_score)
            )

            priorities.append(priority)

        # Sort by risk score (highest first)
        return sorted(priorities, key=lambda x: x.risk_score, reverse=True)

    async def calculate_audit_risk_score(self, unit: BusinessUnit) -> float:
        """Calculate comprehensive risk score for audit prioritization"""

        scores = {}

        # Inherent risk (nature of business processes)
        scores['inherent'] = await self.assess_inherent_risk(unit)

        # Control risk (effectiveness of internal controls)
        scores['control'] = await self.assess_control_risk(unit)

        # Detection risk (likelihood of missing material misstatements)
        scores['detection'] = await self.assess_detection_risk(unit)

        # Regulatory risk (impact of regulatory changes)
        scores['regulatory'] = await self.assess_regulatory_risk(unit)

        # Change risk (impact of business changes)
        scores['change'] = await self.assess_change_risk(unit)

        # Historical risk (prior audit findings and issues)
        scores['historical'] = await self.assess_historical_risk(unit)

        # Weighted average
        weights = {
            'inherent': 0.25,
            'control': 0.25,
            'detection': 0.15,
            'regulatory': 0.15,
            'change': 0.10,
            'historical': 0.10
        }

        return sum(scores[factor] * weights[factor] for factor in scores)

Audit Execution¶

Audit Workflow Management¶

interface AuditWorkflow {
  audit_id: string;
  workflow_stages: WorkflowStage[];
  current_stage: string;
  assigned_team: AuditorTeam;
  timeline: AuditTimeline;
  deliverables: Deliverable[];
  status: 'planning' | 'fieldwork' | 'reporting' | 'follow_up' | 'closed';
}

class AuditWorkflowManager {
  async initializeAudit(auditRequest: AuditRequest): Promise<AuditWorkflow> {
    const auditId = this.generateAuditId();

    // Create workflow stages
    const stages = this.createWorkflowStages(auditRequest.audit_type);

    // Assign audit team
    const team = await this.assignAuditTeam(auditRequest);

    // Create timeline
    const timeline = await this.createAuditTimeline(auditRequest, stages);

    // Define deliverables
    const deliverables = this.defineDeliverables(auditRequest.audit_type);

    return {
      audit_id: auditId,
      workflow_stages: stages,
      current_stage: stages[0].stage_id,
      assigned_team: team,
      timeline,
      deliverables,
      status: 'planning'
    };
  }

  async progressWorkflow(auditId: string, stageId: string): Promise<void> {
    const workflow = await this.getWorkflow(auditId);
    const currentStage = workflow.workflow_stages.find(s => s.stage_id === stageId);

    // Validate stage completion
    const validation = await this.validateStageCompletion(currentStage);
    if (!validation.complete) {
      throw new Error(`Stage incomplete: ${validation.missing_items.join(', ')}`);
    }

    // Move to next stage
    const nextStage = this.getNextStage(workflow.workflow_stages, stageId);
    if (nextStage) {
      await this.updateWorkflowStage(auditId, nextStage.stage_id);
      await this.notifyStakeeholders(auditId, nextStage);
    } else {
      await this.completeAudit(auditId);
    }
  }
}

Evidence Collection and Management¶

class AuditEvidenceManager:
    def __init__(self):
        self.evidence_repository = EvidenceRepository()
        self.chain_of_custody = ChainOfCustodyManager()

    async def collect_evidence(self, audit_id: str, evidence_request: EvidenceRequest) -> Evidence:
        """Collect and properly document audit evidence"""

        # Generate evidence ID
        evidence_id = self.generate_evidence_id(audit_id)

        # Collect the evidence
        evidence_data = await self.gather_evidence_data(evidence_request)

        # Create evidence record
        evidence = Evidence(
            evidence_id=evidence_id,
            audit_id=audit_id,
            evidence_type=evidence_request.evidence_type,
            source=evidence_request.source,
            collection_method=evidence_request.method,
            collected_by=evidence_request.auditor,
            collection_date=datetime.now(),
            description=evidence_request.description,
            data=evidence_data,
            hash_value=self.calculate_hash(evidence_data),
            chain_of_custody=[],
            retention_period=evidence_request.retention_period
        )

        # Establish chain of custody
        await self.chain_of_custody.initialize_custody(evidence)

        # Store evidence securely
        await self.evidence_repository.store_evidence(evidence)

        return evidence

    async def verify_evidence_integrity(self, evidence_id: str) -> IntegrityVerification:
        """Verify evidence hasn't been tampered with"""

        evidence = await self.evidence_repository.retrieve_evidence(evidence_id)

        # Recalculate hash
        current_hash = self.calculate_hash(evidence.data)

        # Compare with original hash
        integrity_verified = current_hash == evidence.hash_value

        # Check chain of custody
        custody_verified = await self.chain_of_custody.verify_custody(evidence_id)

        return IntegrityVerification(
            evidence_id=evidence_id,
            verification_date=datetime.now(),
            hash_verified=integrity_verified,
            custody_verified=custody_verified,
            overall_integrity=integrity_verified and custody_verified
        )

Audit Reporting¶

Report Generation¶

interface AuditReport {
  report_id: string;
  audit_id: string;
  report_type: 'interim' | 'final' | 'management_letter';
  executive_summary: ExecutiveSummary;
  audit_scope: string;
  methodology: string;
  findings: AuditFinding[];
  recommendations: AuditRecommendation[];
  management_responses: ManagementResponse[];
  conclusion: string;
  report_date: Date;
  distribution_list: string[];
}

class AuditReportGenerator {
  async generateAuditReport(auditId: string, reportType: string): Promise<AuditReport> {
    const audit = await this.getAuditDetails(auditId);
    const findings = await this.getAuditFindings(auditId);
    const recommendations = await this.generateRecommendations(findings);

    // Create executive summary
    const executiveSummary = this.createExecutiveSummary(audit, findings);

    // Get management responses (if available)
    const managementResponses = await this.getManagementResponses(auditId);

    return {
      report_id: this.generateReportId(),
      audit_id: auditId,
      report_type: reportType,
      executive_summary: executiveSummary,
      audit_scope: audit.scope,
      methodology: audit.methodology,
      findings,
      recommendations,
      management_responses: managementResponses,
      conclusion: this.formualteConclusion(findings, recommendations),
      report_date: new Date(),
      distribution_list: await this.getDistributionList(audit.stakeholders)
    };
  }

  createExecutiveSummary(audit: AuditDetails, findings: AuditFinding[]): ExecutiveSummary {
    const criticalFindings = findings.filter(f => f.severity === 'critical').length;
    const highFindings = findings.filter(f => f.severity === 'high').length;

    return {
      audit_objective: audit.objective,
      scope_summary: audit.scope,
      overall_assessment: this.determineOverallAssessment(findings),
      key_findings: findings.slice(0, 5), // Top 5 findings
      critical_issues: criticalFindings,
      high_issues: highFindings,
      total_findings: findings.length,
      business_impact: this.assessBusinessImpact(findings),
      summary_recommendation: this.createSummaryRecommendation(findings)
    };
  }
}

Finding and Recommendation Tracking¶

class FindingTracker:
    def __init__(self):
        self.finding_database = FindingDatabase()
        self.remediation_tracker = RemediationTracker()

    async def track_finding_resolution(self, finding_id: str) -> FindingStatus:
        """Track the resolution status of audit findings"""

        finding = await self.finding_database.get_finding(finding_id)
        remediation_plan = await self.remediation_tracker.get_plan(finding_id)

        # Check current status
        current_status = await self.assess_current_status(finding, remediation_plan)

        # Update status if changed
        if current_status.status != finding.status:
            await self.update_finding_status(finding_id, current_status)
            await self.notify_stakeholders(finding, current_status)

        return current_status

    async def generate_status_report(self, audit_id: str) -> FindingStatusReport:
        """Generate comprehensive status report for all findings"""

        findings = await self.finding_database.get_findings_by_audit(audit_id)

        status_summary = {
            'open': 0,
            'in_progress': 0,
            'resolved': 0,
            'overdue': 0
        }

        overdue_findings = []

        for finding in findings:
            status = await self.track_finding_resolution(finding.id)
            status_summary[status.status] += 1

            if status.status == 'overdue':
                overdue_findings.append(finding)

        return FindingStatusReport(
            audit_id=audit_id,
            report_date=datetime.now(),
            total_findings=len(findings),
            status_summary=status_summary,
            overdue_findings=overdue_findings,
            completion_percentage=self.calculate_completion_percentage(findings)
        )

Quality Assurance¶

Audit Quality Control¶

interface QualityControlChecklist {
  audit_id: string;
  reviewer: string;
  review_date: Date;
  planning_quality: QualityAssessment;
  execution_quality: QualityAssessment;
  documentation_quality: QualityAssessment;
  reporting_quality: QualityAssessment;
  overall_rating: 'excellent' | 'satisfactory' | 'needs_improvement' | 'unsatisfactory';
  recommendations: string[];
}

class AuditQualityController {
  async performQualityReview(auditId: string): Promise<QualityControlChecklist> {
    const audit = await this.getAuditDetails(auditId);

    // Review audit planning
    const planningQuality = await this.reviewPlanningQuality(audit);

    // Review audit execution
    const executionQuality = await this.reviewExecutionQuality(audit);

    // Review documentation
    const documentationQuality = await this.reviewDocumentationQuality(audit);

    // Review reporting
    const reportingQuality = await this.reviewReportingQuality(audit);

    // Overall assessment
    const overallRating = this.calculateOverallRating([
      planningQuality,
      executionQuality,
      documentationQuality,
      reportingQuality
    ]);

    return {
      audit_id: auditId,
      reviewer: this.getCurrentReviewer(),
      review_date: new Date(),
      planning_quality: planningQuality,
      execution_quality: executionQuality,
      documentation_quality: documentationQuality,
      reporting_quality: reportingQuality,
      overall_rating: overallRating,
      recommendations: await this.generateQualityRecommendations(
        planningQuality,
        executionQuality,
        documentationQuality,
        reportingQuality
      )
    };
  }
}

Continuous Improvement¶

Audit Program Metrics¶

class AuditMetricsManager:
    def __init__(self):
        self.metrics_database = MetricsDatabase()
        self.kpi_thresholds = self.load_kpi_thresholds()

    async def calculate_audit_kpis(self, period: DateRange) -> AuditKPIs:
        """Calculate key performance indicators for audit program"""

        audits = await self.get_audits_in_period(period)

        # Efficiency metrics
        avg_audit_duration = self.calculate_average_duration(audits)
        budget_variance = self.calculate_budget_variance(audits)

        # Effectiveness metrics
        finding_resolution_rate = await self.calculate_resolution_rate(audits)
        repeat_finding_rate = await self.calculate_repeat_finding_rate(audits)

        # Quality metrics
        stakeholder_satisfaction = await self.measure_stakeholder_satisfaction(audits)
        audit_quality_scores = await self.get_quality_scores(audits)

        # Coverage metrics
        risk_coverage = await self.calculate_risk_coverage(audits)
        compliance_coverage = await self.calculate_compliance_coverage(audits)

        return AuditKPIs(
            period=period,
            efficiency_metrics={
                'average_audit_duration': avg_audit_duration,
                'budget_variance_percentage': budget_variance,
                'audits_completed_on_time': self.calculate_on_time_completion(audits)
            },
            effectiveness_metrics={
                'finding_resolution_rate': finding_resolution_rate,
                'repeat_finding_rate': repeat_finding_rate,
                'management_acceptance_rate': await self.calculate_acceptance_rate(audits)
            },
            quality_metrics={
                'stakeholder_satisfaction_score': stakeholder_satisfaction,
                'average_quality_score': np.mean(audit_quality_scores),
                'external_quality_assessment_rating': await self.get_external_qa_rating()
            },
            coverage_metrics={
                'risk_coverage_percentage': risk_coverage,
                'compliance_coverage_percentage': compliance_coverage,
                'universe_coverage_percentage': await self.calculate_universe_coverage(audits)
            }
        )

See Also¶

• Compliance Management
• Incident Response
• Risk Management
• Security Monitoring

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This document is part of the Anya Enterprise Audit Framework and should be reviewed annually.