Version: 1.0
Date: January 2026
Applies to: ThemisDB v1.4.1+
Status: Active
Review Cycle: Quarterly
- 1. Executive Summary
- 2. Audit Objectives
- 3. Audit Scope
- 4. Audit Methodology
- 5. Standards and References
- 6. Audit Team and Roles
- 7. Audit Schedule
- 8. Reporting and Communication
- 9. Risk Assessment Framework
- 10. Continuous Improvement
This Audit Charter establishes the framework for conducting comprehensive, repeatable security and compliance audits for ThemisDB version 1.4.1 and subsequent releases. The framework ensures ThemisDB maintains best-practice conformance across multiple international standards while supporting automated audit gates in the CI/CD pipeline.
- Establish repeatable audit process for all PR/Release cycles
- Ensure compliance with ISO 27001, NIST CSF, OWASP ASVS, BSI C5, SOC 2, and SLSA Level 3
- Enable automated security scanning and quality gates
- Provide centralized tracking and evidence management
- Support continuous improvement through metrics and KPIs
-
Security Assurance
- Verify implementation of security controls across all layers
- Validate protection of confidentiality, integrity, and availability
- Assess vulnerability management effectiveness
- Ensure secure development lifecycle practices
-
Compliance Verification
- Confirm alignment with applicable standards and regulations
- Validate control implementation against requirements
- Document evidence of compliance
- Maintain audit trail for certification purposes
-
Quality Assurance
- Assess code quality and maintainability
- Verify testing coverage and effectiveness
- Evaluate performance and reliability metrics
- Review documentation completeness
-
Risk Management
- Identify and assess security risks
- Evaluate risk mitigation effectiveness
- Monitor residual risk levels
- Support risk-based decision making
- Improve development team awareness of security requirements
- Build organizational security culture
- Support continuous improvement initiatives
- Enable faster, more secure releases
Codebase:
- Core database engine (
src/) - Storage layer and RocksDB integration
- Query parser and optimizer
- Transaction management (MVCC)
- Authentication and authorization (RBAC)
- Encryption implementation (TLS 1.3, field-level)
- Protocol implementations (HTTP, gRPC, WebSocket, MQTT)
- Client SDKs (all languages)
- LLM integration module (optional)
Infrastructure:
- Build and compilation processes
- CI/CD pipelines (GitHub Actions)
- Container images (Docker)
- Deployment configurations (Kubernetes/Helm)
- Certificate management
- Monitoring and logging systems
Documentation:
- Security policies and procedures
- API documentation
- Deployment guides
- Architecture documentation
- Compliance documentation
Operations:
- Access control mechanisms
- Audit logging
- Incident response procedures
- Backup and recovery processes
- Change management
- Third-party dependencies (unless integration risks identified)
- Customer-specific deployments (covered by operational audits)
- Historical versions prior to v1.4.1
- Non-production test environments (unless security-relevant)
Technical Boundary: All code and configurations in the ThemisDB repository
Organizational Boundary: Development and security teams
Temporal Boundary: Current release and upcoming release candidate
Regulatory Boundary: International standards applicable to database systems
ThemisDB employs a risk-based, continuous audit approach aligned with:
- COSO Enterprise Risk Management (ERM) Framework
- Institute of Internal Auditors (IIA) Standards
- NIST Risk Management Framework (RMF)
- Agile Audit principles
- Review previous audit findings
- Update risk assessment
- Define audit scope and objectives
- Prepare audit checklist
- Allocate resources
Duration: 1-2 days
Deliverables: Audit plan, updated checklist
- Automated security scans (SAST/DAST)
- Code review and static analysis
- Dynamic testing and fuzzing
- Configuration review
- Documentation review
- Interview key personnel (as needed)
Duration: 3-5 days
Deliverables: Evidence packages, scan results
- Evaluate evidence against standards
- Identify gaps and deficiencies
- Assess risk and impact
- Prioritize findings
- Develop remediation recommendations
Duration: 2-3 days
Deliverables: Findings report, risk assessment
- Prepare audit report
- Present findings to stakeholders
- Document recommendations
- Track remediation commitments
Duration: 1-2 days
Deliverables: Final audit report, executive summary
- Track remediation progress
- Verify fixes
- Monitor KPIs
- Update audit documentation
Duration: Ongoing
Deliverables: Remediation status, metrics dashboard
1. Pre-Release Audit (Gate Check)
- Triggered before each release
- Focus on changes since last release
- Automated and manual checks
- Go/No-Go decision gate
2. Full Compliance Audit
- Quarterly comprehensive review
- Full standard compliance verification
- All audit dimensions assessed
- External audit preparation support
3. Targeted Security Audit
- On-demand for specific components
- Security incident investigation
- High-risk change assessment
- Penetration testing follow-up
4. Continuous Monitoring
- Automated scans on every PR
- Security metrics tracking
- Anomaly detection
- Vulnerability monitoring
- Scope: Comprehensive information security controls
- Application: Security management system, risk assessment, controls implementation
- Key Domains: A.5-A.8 (Organizational, People, Physical, Technological controls)
- Certification Goal: Full compliance for external certification
- Scope: Cybersecurity risk management
- Application: Identify, Protect, Detect, Respond, Recover functions
- Key Areas: Asset management, access control, detection processes
- Target Maturity: Tier 3 (Repeatable)
- Scope: Application security requirements
- Application: Web application and API security
- Level Target: Level 2 (Standard)
- Key Chapters: V1-V14 (Architecture to Configuration)
- Scope: Cloud service security
- Application: Cloud-based database operations
- Key Areas: OIS, ORP, CHG, DEV, SEC, IDM
- Compliance Level: Full C5 compliance
- Scope: Service organization controls
- Application: Security, availability, confidentiality, privacy
- Key Criteria: CC1-CC9 (Common Criteria)
- Audit Frequency: Annual
- Scope: Software supply chain security
- Application: Build integrity, provenance tracking
- Requirements: Signed builds, immutable build process, non-falsifiable provenance
- Implementation: GitHub Actions, container signing
- NIST SP 800-53 Rev. 5: Security and Privacy Controls
- CIS Critical Security Controls v8: Implementation guide
- OWASP Top 10 (2021): Web application risks
- OWASP API Security Top 10: API-specific risks
- PCI DSS v4.0: Payment card industry (if applicable)
- GDPR: Data protection (EU applicability)
- CCPA: California Consumer Privacy Act (US applicability)
- CWE Top 25: Most dangerous software weaknesses
- MITRE ATT&CK Framework: Threat intelligence
- NIST Secure Software Development Framework (SSDF)
- Microsoft Security Development Lifecycle (SDL)
- OWASP Software Assurance Maturity Model (SAMM)
- Building Security In Maturity Model (BSIMM)
- SANS Top 25 Most Dangerous Software Errors
- SEI CERT C++ Coding Standard
- ThemisDB Security Policy:
/SECURITY.md - Architecture Documentation:
/docs/de/architecture/ - Compliance Documentation:
/docs/de/compliance/ - Security Procedures:
/docs/security/ - Testing Strategy:
/tests/
Responsibilities:
- Overall audit planning and execution
- Final audit report approval
- Stakeholder communication
- Risk assessment oversight
- Team coordination
Qualifications:
- Security certification (CISSP, CISM, or equivalent)
- Database security expertise
- Audit methodology knowledge
- 5+ years security experience
Responsibilities:
- Security control testing
- Vulnerability assessment
- Penetration testing coordination
- Security finding documentation
- Remediation verification
Qualifications:
- Security certifications (CEH, OSCP, or equivalent)
- Application security experience
- C++ security knowledge
- SAST/DAST tool expertise
Responsibilities:
- Standard compliance verification
- Control mapping validation
- Evidence documentation
- Compliance gap analysis
- Regulatory requirement tracking
Qualifications:
- ISO 27001 Lead Auditor certification
- Compliance framework knowledge
- Audit documentation skills
- 3+ years compliance experience
Responsibilities:
- Static code analysis
- Code review
- Testing coverage assessment
- Documentation review
- Best practice verification
Qualifications:
- C++ development expertise
- Code review experience
- Testing methodology knowledge
- CI/CD familiarity
- Development Lead: Technical consultation, remediation planning
- DevOps Engineer: Infrastructure security, CI/CD pipeline audit
- QA Lead: Testing strategy review, test coverage analysis
- Product Owner: Business context, priority guidance
- Legal/Compliance Officer: Regulatory requirement interpretation
- Penetration Testing Firm: Annual third-party testing
- Certification Body: ISO 27001 certification audits
- External Auditor: SOC 2 examination
- Security Consultants: Specialized assessments as needed
To maintain objectivity and independence:
- Audit team reports directly to executive management
- Auditors do not audit their own work
- No direct operational responsibilities
- Free access to all systems and documentation
- Protected from retaliation or undue influence
| Audit Type | Frequency | Duration | Trigger |
|---|---|---|---|
| Pre-Release Gate | Every release | 1-2 days | Release preparation |
| PR Security Scan | Every PR | 15-30 min | PR submission |
| Weekly Security Scan | Weekly | 2-4 hours | Sunday 2 AM UTC |
| Monthly Review | Monthly | 4 hours | First Monday |
| Quarterly Audit | Quarterly | 1-2 weeks | Quarter end |
| Annual Full Audit | Annually | 2-4 weeks | December |
T-14 days: Audit planning, scope definition
T-10 days: Automated security scans initiated
T-7 days: Code review and manual testing
T-5 days: Findings documented, remediation begins
T-3 days: Remediation verification
T-1 day: Final audit sign-off
T-day: Release approval
- Q1 (Jan-Mar): Full compliance audit, ISO 27001 prep
- Q2 (Apr-Jun): Targeted security audit, penetration testing
- Q3 (Jul-Sep): Full compliance audit, SOC 2 prep
- Q4 (Oct-Dec): Annual comprehensive audit, external certification
Audience: C-level, board
Content: High-level findings, risk summary, key recommendations
Format: 1-2 pages, visual dashboard
Frequency: After major audits
Audience: Security team, development leads
Content: All findings, evidence, detailed recommendations
Format: Structured document with appendices
Frequency: After each audit cycle
Audience: Development team
Content: Technical vulnerabilities, code issues, remediation steps
Format: GitHub issues with labels and priorities
Frequency: Continuous
Audience: Compliance officer, auditors
Content: Standard compliance matrix, evidence references
Format: Structured compliance mapping
Frequency: Quarterly
- Audit Kickoff Meeting: Start of each audit cycle
- Daily Standups: During active audit period
- Weekly Status Updates: Email to stakeholders
- Monthly Metrics Review: Security metrics dashboard
- Quarterly Business Review: Executive presentation
- Ad-hoc Notifications: Critical findings, blockers
Critical Finding (P0):
- Immediate notification to CTO/CISO
- Security incident response activated
- Work stoppage until resolved
- Executive approval required for release
High Priority Finding (P1):
- Notification within 4 hours
- Remediation plan within 24 hours
- Lead auditor approval required
- Delay release if unresolved
Medium Priority Finding (P2):
- Documented in audit report
- Remediation scheduled
- Tracked in backlog
- Resolved before next major release
Low Priority Finding (P3):
- Added to technical debt backlog
- Best practice recommendation
- No release blocker
- Addressed in future iterations
Risk = Likelihood × Impact
- Very High (5): Almost certain, frequent occurrence
- High (4): Likely to occur in most circumstances
- Medium (3): Possible under specific conditions
- Low (2): Unlikely but conceivable
- Very Low (1): Rare, highly unlikely
- Critical (5): Catastrophic damage, data breach, system compromise
- High (4): Significant damage, service disruption, compliance violation
- Medium (3): Moderate impact, degraded service, limited exposure
- Low (2): Minor impact, inconvenience, no security impact
- Negligible (1): No meaningful impact
| Likelihood/Impact | Critical (5) | High (4) | Medium (3) | Low (2) | Negligible (1) |
|---|---|---|---|---|---|
| Very High (5) | P0 | P0 | P1 | P1 | P2 |
| High (4) | P0 | P1 | P1 | P2 | P2 |
| Medium (3) | P1 | P1 | P2 | P2 | P3 |
| Low (2) | P1 | P2 | P2 | P3 | P3 |
| Very Low (1) | P2 | P2 | P3 | P3 | P3 |
- Security Risks: Authentication bypass, injection attacks, data exposure
- Compliance Risks: Standard violations, regulatory non-compliance
- Operational Risks: Service disruption, data loss, availability issues
- Reputational Risks: Security incidents, data breaches, public disclosure
- Financial Risks: Penalties, litigation, remediation costs
- Mitigate: Implement controls to reduce risk (preferred)
- Transfer: Insurance, third-party services
- Accept: Document and monitor (low risks only)
- Avoid: Change design, remove feature
Security Metrics:
- Mean Time to Detect (MTTD) vulnerabilities: < 24 hours
- Mean Time to Remediate (MTTR): < 7 days (critical), < 30 days (high)
- Vulnerability density: < 1 per 1000 lines of code
- Security test coverage: > 80%
- Critical findings per release: < 5
Quality Metrics:
- Code coverage: > 80%
- Static analysis pass rate: > 95%
- Code complexity: Cyclomatic complexity < 15
- Documentation completeness: > 90%
- Build success rate: > 99%
Compliance Metrics:
- Standard compliance rate: > 95%
- Audit findings remediation rate: > 90% within 30 days
- Control effectiveness: > 85%
- Evidence completeness: > 95%
- Policy adherence: > 98%
Process Metrics:
- Audit completion on schedule: > 95%
- Audit cycle time: Within planned duration
- Automated check coverage: > 70%
- Finding recurrence rate: < 5%
- Team training hours: > 40 hours/year/person
- Monthly: KPI review and trend analysis
- Quarterly: Framework effectiveness assessment
- Annually: Comprehensive framework review and update
- Ad-hoc: After major incidents or standard updates
After each major audit:
- Retrospective meeting within 1 week of completion
- Document lessons learned in audit repository
- Update processes based on findings
- Share knowledge with team
- Implement improvements in next cycle
- Security Training: Annual mandatory training for all team members
- Audit Training: Quarterly updates on audit processes
- Standard Updates: Training when standards change
- Tool Training: On-demand for new security tools
- Best Practices: Monthly security awareness sessions
- AUDIT_GATE_TEMPLATE.md: Master checklist for release audits
- AUDIT_RUNBOOK.md: Step-by-step audit execution guide
- COMPLIANCE_MAPPING.md: Standard-to-control mapping matrix
- GitHub Actions:
.github/workflows/audit-check.yml - Security Policy:
/SECURITY.md - Compliance Documentation:
/docs/de/compliance/
Audit Team Email: security-audit@themisdb.org
Security Incidents: security@themisdb.org
Compliance Questions: compliance@themisdb.org
General Inquiries: info@themisdb.org
| Version | Date | Author | Changes |
|---|---|---|---|
| 1.0 | January 2026 | ThemisDB Security Team | Initial release for v1.4.1+ |
Approved By:
- Chief Technology Officer (CTO)
- Chief Information Security Officer (CISO)
- Compliance Officer
- Lead Auditor
Date: ________________
Next Review Date: April 2026
Document Classification: Internal Use
Distribution: Audit team, development team, management
Retention Period: 7 years
This audit charter is a living document and will be updated as ThemisDB evolves and standards change.