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Compliance Phases

Steps Towards Certification

Embarking on the journey towards compliance involves a structured progression through essential phases. From initial assessments and gap analyses in the Pre-Audit phase to the meticulous review of policies and procedures during the Audit phase, each step is crucial. The culmination occurs with the Certified Organization phase, where official recognition is granted, but ongoing vigilance remains essential for sustained compliance excellence.

L3 Gold

  • Policy Assessment
  • Technical Assessment
  • Compliance Works Efforts

Audit Phase 1

This Phase Involves initial assessments and identifying gaps in compliance. These assessments may encompass a variety of areas including data protection measures, network security protocols, access controls, and incident response procedures.

Pre-Auditing sets the foundation for a successful audit process by establishing clear objectives and necessary documentation.

*Comprehensive Evaluation of Policies and Infrastructure

Audit Phase 2

During this phase, auditors review and assess the organization’s compliance with relevant standards.

This includes examining policies, procedures, and controls to ensure they meet regulatory requirements.

*Comprehensive Evaluation of Policies and Infrastructure

& Work Efforts

This phase focuses on implementing necessary controls and making improvements based on audit findings.

It involves collaboration across teams to address any identified issues and ensure compliance.

*Performs the work to pass the audit

Edit existing policies

Write new policies

Deploy new security software

Deploy servers

List iteDeploy workstations, firewalls, etc.m 5

Final Prep
For Auditors

Organizations prepare final documentation and evidence for the auditors’ review.

This includes conducting internal reviews and ensuring all compliance measures are fully in place.

*Prepare for auditors to arrive

Auditors Arrive
& Certify Organization

Auditors conduct their on-site assessments, and if all criteria are met, the organization receives its compliance certification.

This phase culminates in official recognition of the organization’s adherence to compliance standards.

*Auditor on site performs evaluation of entire organization. The result is Audit passed

Ongoing Efforts
to Maintain Compliance

Continuous monitoring and updating of compliance measures are essential to retain certification.

Organizations must stay vigilant to changes in regulations and maintain best practices to ensure ongoing compliance.

*Ongoing efforts to maintain Certification such as:

Vulnerability scans

Monitoring and Logging

Change Management

And Much More