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
Implementation
& 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
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.