Audit Readiness

Audit Readiness

Assess audit readiness for "$ARGUMENTS" by evaluating evidence completeness, control operating effectiveness, and team preparedness for formal audit engagement.

Prerequisites

Read .metapowers/compliance/$ARGUMENTS/00-scope.md. If this file does not exist, tell the user:

Phase 0 (Scope) has not been completed for "$ARGUMENTS". Run /compliance:regulatory-landscape $ARGUMENTS first, or use --skip-checks to bypass.

If --skip-checks is present in $ARGUMENTS, skip this check.

Process

1. Read context files:

   • Read plugins/compliance/shared/grc-lifecycle-guide.md for GRC methodology reference
   • Read .metapowers/compliance/$ARGUMENTS/00-scope.md for scope and control framework context
   • Read .metapowers/compliance/$ARGUMENTS/02-remediate.md for control mapping and evidence plan

2. Evidence completeness check:

   • For each regulation being certified: verify all required evidence items are collected
   • Check evidence currency — no expired or stale evidence items
   • Verify evidence format meets auditor expectations
   • Identify evidence gaps — missing, incomplete, or insufficient items
   • Calculate evidence completeness percentage per regulation

3. Control operating effectiveness:

   • Verify controls have been operating for the required period (typically 3-6 months for SOC 2 Type II, varies by standard)
   • Check for control failures or exceptions during the observation period
   • Verify compensating controls are documented for any known gaps
   • Assess control monitoring — are anomalies being detected and addressed?

4. Mock audit simulation:

   • Simulate auditor questions for each control domain
   • Verify document requests can be fulfilled within expected timeframes
   • Identify areas where explanations would be weak or evidence thin
   • Test team knowledge — who answers questions about which controls?

5. Readiness scoring:

   • Score each regulation on a readiness scale: Not Ready / Partially Ready / Audit Ready
   • Identify remaining gaps or weak areas per regulation
   • Create pre-audit remediation punch list with owners and deadlines

6. Team readiness assessment:

   • Identify who answers auditor questions per control domain
   • Assess team availability during planned audit window
   • Identify training needs for audit participants
   • Prepare audit logistics (room, access, schedules)

7. Write the artifact to .metapowers/compliance/$ARGUMENTS/03-certify.md with sections:

   • Evidence Completeness Matrix — per-regulation evidence status
   • Control Effectiveness Summary — operating period and effectiveness assessment
   • Mock Audit Results — simulated findings and weak areas
   • Readiness Scorecard — per-regulation readiness rating
   • Pre-Audit Punch List — remaining items to address before audit
   • Team Readiness — roles, responsibilities, and preparation needs

Output

The audit readiness assessment written to .metapowers/compliance/$ARGUMENTS/03-certify.md. Present a summary to the user highlighting:

• Overall readiness rating per regulation
• Evidence completeness percentage
• Number of items on the pre-audit punch list
• Recommended audit start date based on readiness