Compliance Governance Audit

Compliance & Governance Audit

Purpose

Assess the governance posture of Azure subscriptions by auditing policies, RBAC assignments, tagging standards, resource locks, and regulatory alignment. Produce a compliance scorecard with remediation steps.

CRITICAL formatting rule

Use Unicode emoji characters directly (🟢 🟡 🔴) in ALL output — headers, tables, findings, bullet points, everywhere. NEVER use emoji shortcodes like :red_circle:, :yellow_circle:, :green_circle:, or any :name: syntax. This applies to every section of the report without exception.

When to use this skill

• User asks "are we compliant?"
• User asks about governance, policy violations, or audit readiness
• Pre-audit preparation (SOC2, ISO 27001, HIPAA, etc.)
• Monthly governance review

Pre-check

Confirm with the user:

• Scope: which subscriptions/management groups
• Compliance framework (if any): SOC2, ISO 27001, HIPAA, PCI-DSS, CIS Benchmarks, or general best practices
• Any known exceptions or waivers

Audit procedure

Step 1: Azure Policy compliance

Check overall policy compliance state.

bashCopy code
az policy state summarize --query "value[].{policy:policyDefinitionName, nonCompliant:nonCompliantResources}" -o table

1. List all non-compliant resources grouped by policy
2. Identify policies in "audit" mode that should be "deny"
3. Check for orphaned policy assignments (assigned but no effect)
4. Verify initiative assignments for regulatory frameworks (CIS, NIST, etc.)

Report:

• Total policies assigned
• % compliant
• Top 5 violated policies with resource count

Step 2: RBAC review

Audit role assignments for least-privilege violations.

bashCopy code
az role assignment list --all --query "[].{principal:principalName, role:roleDefinitionName, scope:scope}" -o table

1. Owner count: Flag if > 3 Owners at subscription level
2. Contributor sprawl: List all Contributor assignments — flag service principals with Contributor when a custom role would suffice
3. Classic admins: Check for legacy co-administrators

   bashCopy code
   az role assignment list --include-classic-administrators -o table
   

4. Guest users with privileged roles: Flag external identities with Owner/Contributor
5. Stale assignments: Cross-reference with sign-in logs — flag principals that haven't signed in for 90+ days
6. Custom roles: Review custom role definitions for overly broad permissions (e.g., * actions)

Step 3: Tagging compliance

Check mandatory tags across all resources.

Define expected mandatory tags (confirm with user or use defaults):

• environment (prod/staging/dev/test)
• owner (team or individual)
• cost-center (billing code)
• application (workload name)

bashCopy code
az resource list --query "[?tags.environment==null || tags.owner==null].{name:name, type:type, rg:resourceGroup, tags:tags}" -o table

Report:

• % of resources with all mandatory tags
• Top offending resource groups
• Resources with no tags at all

Step 4: Resource locks

Check critical resources for delete/read-only locks.

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az lock list --query "[].{name:name, level:level, resource:resourceId}" -o table

1. Verify production databases have delete locks
2. Verify production storage accounts have delete locks
3. Verify networking resources (VNets, ExpressRoute) have locks
4. Flag production resources without any lock

Step 5: Naming conventions

Analyze resource naming patterns.

1. Extract all resource names and types
2. Check against Azure naming conventions (e.g., rg-, vnet-, vm-, st, kv-)
3. Flag resources that don't follow a consistent pattern
4. Report % compliance with naming standards

Step 6: Network governance

1. Check for resources with public endpoints that should be private
2. Verify NSG flow logs are enabled
3. Check for Network Watcher in all active regions
4. Verify DDoS protection on VNets with public-facing resources

Step 7: Diagnostic settings

1. Check that all critical resources have diagnostic settings enabled
2. Verify logs flow to a central Log Analytics workspace
3. Check Activity Log export at subscription level

bashCopy code
az monitor diagnostic-settings subscription list --subscription <id> -o table

Scoring model

Reminder: use the actual Unicode characters 🟢 🟡 🔴 above, never shortcodes.

Accepted exceptions (optional)

If the user provides a list of accepted exceptions, do not flag those items. Instead, note them in the report as Accepted Exception with the reason provided.

Example format the user may provide:

When exceptions are provided:

• Skip the flagged checks in scoring
• List them in a separate "Accepted Exceptions" section at the end of the report
• Recalculate the overall score excluding excepted checks

Expected output

Report header (mandatory — use this exact format)

Compliance & Governance Audit Report

Governance scorecard

Critical findings (act now)

Items that represent immediate risk or audit failure.

Remediation plan

For each finding:

• What's wrong
• Why it matters
• How to fix it (with az cli command or portal steps)
• Use GetAzCliHelp to validate the command syntax before suggesting
• Include the official Microsoft Learn documentation link
• Estimated effort
• Priority (Critical/High/Medium/Low)

References

• Azure Policy: https://learn.microsoft.com/en-us/azure/governance/policy/overview
• RBAC Best Practices: https://learn.microsoft.com/en-us/azure/role-based-access-control/best-practices
• Resource Tagging: https://learn.microsoft.com/en-us/azure/azure-resource-manager/management/tag-resources
• Resource Locks: https://learn.microsoft.com/en-us/azure/azure-resource-manager/management/lock-resources
• Naming Conventions: https://learn.microsoft.com/en-us/azure/cloud-adoption-framework/ready/azure-best-practices/naming-and-tagging

Regulatory mapping (if framework specified)

Map findings to specific controls (e.g., SOC2 CC6.1, ISO 27001 A.9.2.3).

Sample output

The following is a redacted example of what the report looks like when run against a subscription.

Compliance & Governance Audit Report

Governance scorecard

Critical findings (sample)

Remediation guidance (sample)

bashCopy code
# Remove excess Owner assignments
az role assignment delete --assignee user@external.com --role Owner --scope /subscriptions/a1b2c3d4-...

# Add delete lock to production SQL Server
az lock create --name CanNotDelete --resource-group rg-data-prod --resource sql-contoso-prod --resource-type Microsoft.Sql/servers --lock-type CanNotDelete

# Tag resources with missing cost-center
az resource tag --ids /subscriptions/.../resourceGroups/rg-app-prod/providers/Microsoft.Web/sites/app-api-prod --tags cost-center=CC-1234 environment=prod owner=platform-team