Certified: The Security+ Prepcast

When we think about cybersecurity, we often focus on technical controls—firewalls, encryption, access restrictions, and updates. But strong security is also about regularly stepping back and asking a crucial question: is all of this actually working? That is where auditing comes into play. Security audits and process reviews provide organizations with a structured way to verify that systems are properly configured and that policies are being followed. These audits help uncover weaknesses, highlight improvement opportunities, and validate compliance with industry standards. In this episode, we examine the role of comprehensive system audits and process reviews in maintaining a strong security posture.
We begin with system audits. A system audit is a formal evaluation of how a system is configured and secured. It examines a wide range of technical elements—operating system settings, access permissions, firewall rules, logging configurations, patch status, and much more. The purpose is to verify that these settings align with organizational policies and recognized security best practices. System audits are essential because even well-intentioned administrators can overlook critical details or make mistakes that create vulnerabilities.
For example, an audit of a file server might reveal that an outdated operating system is still in use, that password policies are too lenient, or that certain directories are accessible by all users when they should be restricted. These are not always things you can detect through everyday monitoring. Audits provide a fresh, systematic look that brings hidden issues to light.
Security audits can be conducted internally or by an external auditor. Internal audits are useful for regular self-assessments and for preparing for more formal reviews. External audits bring in an objective perspective and are often required for compliance with standards like the Payment Card Industry Data Security Standard, the Health Insurance Portability and Accountability Act, or the International Organization for Standardization Twenty Seven Thousand One. Whether internal or external, the audit process typically includes data collection, evidence review, interviews with staff, and a final report that highlights findings and provides recommendations.
Let’s consider a real-world example. A mid-size company conducts a system audit of its web application infrastructure. The audit finds that administrative access to the database server is not limited by Internet Protocol address, leaving it accessible from the public internet. It also discovers that several user accounts have not been deactivated, even though the employees left the company months ago. These oversights are corrected immediately, and new procedures are implemented to prevent recurrence. Without the audit, these gaps might have remained unnoticed and become entry points for attackers.
Auditing is not just about catching errors—it is also about building trust. A documented audit process with clear results demonstrates to leadership, regulators, and customers that the organization takes security seriously. It provides evidence that security policies are not just written, but actively enforced.
Now let’s turn to process reviews. While system audits focus on technology, process reviews examine how people and teams implement security. This includes evaluating workflows, documentation, training programs, incident response plans, and policy adherence. Process reviews are essential because even the best technical controls can fail if the processes around them are flawed, inconsistent, or ignored.
For instance, an organization might have a strong access control system in place, but a process review reveals that new user accounts are often created without proper authorization. Or, there might be a patching policy that requires updates within thirty days, but no one is tracking whether this timeline is actually being met. These process breakdowns create opportunities for mistakes and introduce unnecessary risk.
A process review often starts with interviews and walkthroughs. Auditors or reviewers ask employees to describe how they complete specific tasks—such as onboarding a new user, updating software, handling alerts, or escalating an incident. The goal is to compare actual behavior to documented procedures and identify gaps, redundancies, or areas where staff need more training or clearer guidance.
One powerful benefit of process reviews is that they can identify the root causes of recurring issues. If system audits repeatedly show misconfigured servers, a process review might discover that the deployment checklist is missing key steps—or that the staff responsible have never received formal training. Fixing the process, in this case, improves the outcomes of future audits and reduces long-term risk.
Let’s look at another real-world example. A healthcare provider conducts a process review of its patient data access procedures. The review reveals that access requests are being processed by a single employee without a secondary approval or verification step. This violates internal policy and introduces the risk of unauthorized access. As a result of the review, the organization implements a new workflow requiring supervisor approval and automated logging of access changes. This small change significantly improves accountability and reduces insider threat risk.
Process reviews also support continuous improvement. By regularly examining how policies are implemented, organizations can spot where controls are too strict, too loose, or simply outdated. They can update policies to reflect changes in technology, business operations, or compliance requirements. A policy that made sense when everyone worked in a central office may need to be revised in a hybrid or remote work environment. Process reviews help identify those gaps.
It is also important to remember that process reviews reinforce the human side of security. They give employees a voice in identifying challenges and proposing solutions. They also help align technical and non-technical teams by clarifying expectations and building shared understanding. Security improves when people understand the why behind the rules—and when they are empowered to improve how the rules are applied.
In many organizations, audits and process reviews work best when paired. For example, a system audit may identify that logging is not enabled on certain devices. A process review then reveals that the deployment script used by the operations team does not include log configuration. Fixing the script addresses the root of the problem. This combination of technical verification and procedural insight creates a more complete and resilient security strategy.
To summarize, system and process auditing are critical tools in identifying weaknesses, ensuring compliance, and driving improvement. System audits provide deep insight into the technical configuration of assets and uncover vulnerabilities that may not be visible day-to-day. Process reviews focus on how people interact with technology and policies, helping to close the gap between intention and execution. Together, these practices strengthen defenses, build accountability, and support a culture of continuous improvement.
As you prepare for the Security Plus exam, be ready to explain the difference between a technical audit and a process review. Know which tools and methods apply to each, and understand the types of findings they may uncover. Expect scenario questions that ask you to evaluate why a security policy is not working as intended or how an audit helped prevent a breach. Review terms like system configuration audit, policy compliance, and procedural walkthroughs—they are common in both multiple choice and performance-based questions.