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Audit Readiness

Assess your compliance status and identify gaps before certification audits

Audit Readiness

Knowing whether you're ready for an audit shouldn't be a guessing game. Infopol provides clear metrics and checklists to assess your compliance status before the auditor arrives.

Understanding Audit Readiness

Audit readiness means having:

  • Complete control implementation across your chosen framework
  • Evidence documentation for each implemented control
  • Policy acknowledgements proving employee awareness
  • Incident records showing you identify and respond to security events
  • Continuous monitoring through recurring compliance tasks

Auditors expect to see these elements working together as a program, not just checkboxes ticked in a spreadsheet.

[Screenshot: Compliance Dashboard] Shows: Overall compliance score, framework adoption status, control implementation progress, and gap summary

Compliance Score Overview

Your compliance dashboard displays real-time metrics:

  • Control Implementation Percentage: How many framework requirements have implemented controls
  • Evidence Coverage: Percentage of controls with linked documentation
  • Training Completion: Employee policy acknowledgement and quiz pass rates
  • Active Automations: Recurring tasks maintaining compliance over time

These metrics give you an honest assessment of where you stand. A score above 90% with complete evidence generally indicates audit readiness.

Readiness Checklist

Before scheduling a certification audit, verify:

  1. Framework Controls

    • All requirements have assigned controls
    • Controls status marked as "Implemented" or "Not Applicable"
    • Each control has clear description of implementation approach

  2. Documentation Evidence

    • Policies published and version-controlled
    • Procedures documented for critical processes
    • Records retained (access logs, incident reports, training records)

  3. Employee Awareness

    • All staff have acknowledged relevant policies
    • Training quiz completion rates meet targets (typically 100% for security policies)
    • Acknowledgements timestamped within required periods

  4. Operational Evidence

    • Incidents documented with complete investigation records
    • Risk assessments completed and current
    • Asset and vendor registries maintained
    • Recurring compliance tasks executing on schedule

[Screenshot: Readiness Checklist] Shows: Gap analysis view highlighting incomplete controls, missing evidence, and outstanding training

Identifying Gaps

The gap analysis highlights areas needing attention:

  • Red flags: Controls marked as "Not Started" or "Deferred" without justification
  • Missing evidence: Controls lacking supporting documentation
  • Stale data: Risk assessments or policy reviews overdue for update
  • Low completion rates: Automations showing poor task completion

Address red flags first, then work through yellow warnings. Green items are ready for audit.

[Screenshot: Evidence Export] Shows: Report generation interface with filters for framework, date range, and evidence type

Preparing Documentation

Auditors need evidence organized and accessible:

  1. Generate compliance reports from the Reports page

    • Select your framework and date range
    • Export includes control descriptions, evidence links, and completion status
    • PDF format suitable for sharing with auditors

  2. Collect evidence files from linked sources

    • Policies from Documents library
    • Incident reports from Incidents module
    • Training records from Quiz campaigns
    • System logs and screenshots from Evidence Locker

  3. Prepare process documentation showing how you maintain compliance

    • Automation schedules demonstrating recurring reviews
    • Task completion history proving work is done
    • Incident response records showing program in action

Audit Timeline

Typical readiness timeline:

  • 8-12 weeks before audit: Run gap analysis, prioritize remediation work
  • 4-6 weeks before: Complete missing controls, collect evidence
  • 2-3 weeks before: Generate compliance report, prepare evidence package
  • 1 week before: Final review, brief team on audit process

Don't leave readiness assessment to the last minute. Many organizations discover gaps that take weeks to address properly.

Next Steps