Technology
What is Technology Risk?
Technology risk (also known as information technology risk) is a type of business risk defined as the potential for a technology failure to disrupt a business. What type of failure? Well, lots — everything from cyber attacks, to service outages, to old equipment no longer fulfilling your needs, and more.
Without an appropriate response, any technology risk has the potential to cause financial, reputational, regulatory, or strategic disruption. As such, it’s critical for companies to have an effective technology risk management strategy that anticipates potential problems and supports a strong security posture.
Risk Management’s Role in Technology Risk
Risk management includes the strategies, processes, systems, and people that a company uses to manage potential risks. Technology risk management is one subset of that concept; it aims to identify potential technology risks before they occur and then implement a plan to address them.
Risk management looks at the internal and external technology risks that could hurt a company. Risk management teams (usually composed of IT specialists) develop their technology risk management plans by identifying and analyzing technology risks and then implementing measures to reduce those risks to acceptable levels.
Common Technology Risks
Thanks to modern dependence on technology, businesses have numerous technology vulnerabilities. These will vary for each industry and the types of technology used, but some of the most common risks include:
Cyber attacks
Companies are bombarded with cyber attacks every day. Perhaps the most common attack is phishing, where employees receive bogus emails trying to dupe them into sharing confidential data — often by asking the employee to click on a link that connects them to an infected website, or by posing as a coworker and asking the target to send confidential data by email.
Meanwhile, malware is software installed by an outside entity (usually after someone falls for a phishing email) that causes harm to either the device or the company’s IT systems.
One common form of malware is the Trojan Horse. It’s malware that looks like a legitimate program. Once installed, a malicious code will execute the attacker’s plans: stealing data, spying on activity, or gaining backdoor access to closed systems. Another type of ransomware is malware, which locks a user’s computer until the attacker’s requests are met (typically paying a ransom or divulging confidential information).
Data breaches
Data breaches occur when sensitive information is stolen or leaked to unintended parties. Breaches can happen from external attacks such as hacks, malware, or phishing scams. Internal data breaches are also possible due to disgruntled or improperly trained employees. Regular internal audits of IT environments can help reduce instances of data breaches.
Old equipment
Keeping software up to date is often as simple as allowing regular or automatic downloads from the software provider. These updates include patches for new and developing cyber risks, helping to keep your sensitive information safe.
Many software vendors, however, cease supporting old products over time. This means that outdated equipment may not be as safe as new technology. Auditing IT hardware is important for mitigating technology risks, as it allows your organization to ensure continued software updates and security patches.
Benefits of Technology Risk Management
The most obvious benefit of technology risk management is that your organization can reduce its vulnerabilities. Active risk management plans reduce the likelihood that an anticipated risk will occur. That said, technology risk management has other benefits too, such as:
- Reduced costs. Every risk has an associated cost, and technology risk is no different. By reducing the likelihood of risks, your organization saves on the costs associated with financial and reputational losses.
- Improved agility. Technology risks cause disruptions which delay business processes and scatter daily operations. A successful technology risk management strategy helps your business respond to risk events in a more agile way, allowing for briefer disruptions and improved business continuity.
Technology Risk Management Process
The first step in the technology risk management process is a technology risk analysis. At this stage, the risk management team uses tools to identify and prioritize the technology risks so they can assess and resolve those issues.
Identifying technology risks should be an ongoing effort. Consequently, it makes sense to impanel a group of people to identify the sources of technology risks. These risk committee members should combine their knowledge and experience to scan the full range of possible technology risks, identifying which risk management frameworks are appropriate for each.
After the risk management team identifies the technology risks, the team should develop a risk management plan to address each risk identified. Next, the team should use a risk assessment software tool to categorize and prioritize those risks. Technology risks should be prioritized based on the potential harm they would cause the organization and the likelihood of the risk actually happening.
In addition, compiling a technology risk register — a formal record of identified technology risks — can help organizations identify potential technology risks that might derail their intended business outcomes.
Mitigating Technology Risks
Once your risk management team identifies the causes of the technology risks, as well as the potential impact and probability of those risks, the team can start to develop possible solutions to manage or prevent technology risks. As the team develops a response for each technology risk, that response should be broken into specific action steps, which become part of the risk management plan.
The risk management team should immediately implement whatever action steps they can to prevent the technology risks from occurring. If a risk does occur, the risk management team can retrieve the plan and implement the appropriate steps.
What Is Risk Management in Information Technology?
Risk management in information technology — or IT risk management — is specifically about protecting data and IT systems from adverse events. These risks range from human error and equipment malfunction to cyber threats and natural disasters.
When organizations identify and address vulnerabilities within their enterprise IT networks, they are better prepared to counter cyber attacks, which reduces the damage from any potential cybersecurity incident. By implementing a comprehensive IT security and risk management program, companies can navigate future decision-making processes for strategic information security risk control while focusing on achieving business goals.
What Are the Steps in Information Technology Risk Management?
An organization must undertake several steps to assure a robust and comprehensive information technology risk management strategy. Here is a step-by-step breakdown:
Step 1: Identify data vulnerabilities
Locate areas where valuable data is stored (and remember to include cloud-based storage, shared drives, web portals, email, and messaging services when you do). Understand that there’s an increased risk of data theft in cloud environments, so it’s critical to account for diverse data touchpoints, including relevant locations and users.
Step 2: Analyze data types
Conduct a comprehensive risk analysis by assessing the overlap and impact of each data asset’s risks. Calculate the level of risk by multiplying the likelihood and financial impact of a potential breach, and prioritize risks based on their severity.
Step 3: Evaluate and prioritize risks
Assess risks by analyzing the likelihood of a data breach and its financial harm. Calculate risk levels to prioritize responses, acknowledging the potential damage to low-risk data in high-risk locations.
Step 4: Set risk tolerance and establish processes
Determine your organization’s risk tolerance and decide whether to accept, transfer, mitigate, or refuse identified risks. Implement mitigating controls like insurance, firewalls, and encryption to manage risk while understanding their limitations. You should also establish robust IT risk management processes.
Step 5: Mitigate existing risks
Develop and implement mitigation measures for risks that exceed your defined risk tolerance. Deploy firewalls, encryption, data backups, hardware updates, and multi-factor authentication to reduce vulnerabilities and enhance security controls.
Step 6: Use a data security solution
Invest in reliable data security solutions, particularly for critical risk scenarios, to alleviate the burden on internal teams and enhance protection against critical risks. Be sure to entrust data access to security professionals to minimize potential threats.
Step 7: Continuously monitor risk
It’s important to maintain ongoing vigilance as malicious actors evolve their tactics. Regularly reassess controls to adapt to emerging threats like ransomware, cryptocurrency, and phishing. Ongoing risk monitoring is essential to address emerging vulnerabilities in an ever-changing threat landscape.
What Are Four Approaches to IT Risk Management?
In the complex landscape of IT risk management, there are four fundamental strategies for addressing potential risks:
- Risk avoidance. Withdrawing or refraining from participating in risky scenarios.
- Risk reduction. Implementing measures to keep risk at an acceptable level and minimize potential losses.
- Risk transfer. Shifting or sharing risk through mechanisms such as insurance or outsourcing.
- Risk retention. Accepting and accounting for identified risks within budgeting and resource allocation.
You can use these approaches as a framework to guide business decision-making and mitigate the effect of adverse events.
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What is a FedRAMP Certification?
Cloud service providers (CSPs) that want to compete for U.S. federal government contracts must first obtain FedRAMP certification — akin to a seal of approval from the federal government, that the CSP’s cybersecurity meets basic standards.
FedRAMP certification benefits small and large CSPs by boosting security, increasing efficiency, and smoothing the path to doing business with U.S. government agencies.
So what is FedRAMP, exactly, and how can your CSP achieve certification? This article will explore those questions.
What Is FedRAMP?
The Federal Risk and Authorization Management Program, or FedRAMP, standardizes the processes that U.S. government agencies use to evaluate and purchase cloud-based IT services.
The goal of FedRAMP is to ensure that federal data existing on the cloud is protected to an appropriately high degree. The required FedRAMP level of security is set by legislation. In addition, 14 other statutes and regulations apply, and 19 standards and guidance documents exist that CSPs must follow. In other words, understanding FedRAMP is no easy task.
FedRAMP Certification vs. FedRAMP Compliance
A CSP can approach FedRAMP in two ways: certification or compliance. The two terms are definitely not the same thing.
FedRAMP certification involves undergoing a full security assessment and FedRAMP authorization process under the Joint Authorization Board (JAB). CSPs going this route need to draft a System Security Plan (SSP) that thoroughly documents their security controls, undergo readiness assessments, and work with accredited Third-Party Assessors (3PAOs) to perform required audits and produce a final Security Assessment Report (SAR) for review by the JAB.
Once certified, rigorous continuous monitoring is required, including submitting monthly updates and annual assessments and developing a Plan of Action and Milestones (POA&Ms) to address any vulnerabilities you have. Becoming FedRAMP-certified signals alignment with stringent cloud security standards for government customers.
CSPs can also go the route of FedRAMP compliance. Here, you simply self-attest to FedRAMP security controls without formal 3PAO verification.
FedRAMP certification delivers more validation (through an external audit) but requires more time and resources. Compliance, on the other hand, can be an interim option to demonstrate baseline security. Both can aid CSPs in instilling trust during competitive federal pursuits.
Why Is FedRAMP Certification Important?
FedRAMP certification is important because without it, you’re not likely to win any business with the U.S. federal government (nor most state and municipal governments, too, since they tend to follow the feds’ lead on cybersecurity protocols).
The FedRAMP Marketplace lists FedRAMP-approved cloud service providers. When federal government agencies want a new cloud solution, they first look to this marketplace. For those agencies, selecting an already authorized product is much easier than starting the approval process with a new cloud provider. You’re far more likely to do business with government agencies when listed in the FedRAMP Marketplace.
FedRAMP certification can also help you advance your business in the private sector because the FedRAMP Marketplace is open to the public. Many private companies searching for a trusted CSP start by checking which vendors are on the FedRAMP Marketplace.
Some potential clients might need to be educated about FedRAMP, but most larger businesses know about FedRAMP, especially if they do business with the federal government. Requiring FedRAMP certification could become a deal-breaker as you try to close business with more mature companies.
When Is FedRAMP Required?
FedRAMP compliance or certification is required for any CSP offerings intended for adoption by U.S. federal government agencies per mandates from the General Services Administration (GSA).
When a federal agency plans to use a cloud-based product or service for moderate or high-impact data, it must choose a provider that follows FedRAMP standards. CSPs must then either pursue the formal FedRAMP authorization process and certification through the JAB or self-attest to FedRAMP security control implementation. Even for low-impact data usage, federal agencies increasingly expect some FedRAMP alignment from CSPs before procurement. (FedRAMP certification is also essential for any CSP servicing the Department of Defense.)
Beyond the federal government, state and local agencies also favor FedRAMP-aligned cloud solutions, underlining the standard’s centrality to public sector business.
What Are FedRAMP Compliance Requirements?
To demonstrate FedRAMP compliance, cloud service providers (CSPs) must implement the baseline security controls defined by National Institute of Standards and Technology (NIST) Special Publication 800-53. The core requirements include:
- Documenting information security in a System Security Plan (SSP)
- Performing annual self-assessments of deployed security controls
- Establishing robust configuration management protocols
- Enabling continuous monitoring of systems and networks
- Developing detailed incident response and contingency plans
- Instituting stringent access control mechanisms
- Providing role-based security training
- Maintaining detailed audit logs and records
Additionally, based on the chosen CSP compliance path, you may need to publish SSPs to FedRAMP Connect or undergo a 3PAO assessment. Beyond initial compliance, staying current on changing FedRAMP requirements and maintaining validated security over time is mandatory.
What Is the FedRAMP Certification Process?
FedRAMP certification is a long, complex, and potentially expensive process. Unlike FISMA (Federal Information Security Management Act), which allows organizations to perform their own assessments, FedRAMP certification must be performed by a certified 3PAO.
A cloud services provider can get certified in one of two ways, according to FedRAMP.gov:
- A Joint Authorization Board (JAB) provisional authorization to operate is known as a P-ATO.
- An Agency Authority to Operate, or an ATO.
Joint Authorization Board (JAB) Provisional Authorization
The Joint Authorization Board consists of representatives from the U.S. Department of Defense (DoD), the U.S. Department of Homeland Security (DHS), and the General Services Administration (GSA). The JAB sets the FedRAMP accreditation standards and reviews authorization packages, including results from the assessments done by the 3PAOs.
In this case, the CSP has to prove a demonstrated demand for its service by many agencies. Therefore, the JAB P-ATO is good for CSPs offering services that multiple agencies might want to use.
Agency Authority to Operate
The second way a CSP can obtain certification is via an Agency Authority to Operate. This is done through a specific agency, which grants the CSP the final Authority To Operate (ATO).
As part of the agency certification or ATO authorization process, a CSP works directly with an agency sponsor, which will review the CSP’s security package. This approach is best for cloud service providers that have developed niche offerings for only a few federal agencies.
To decide which type of security authorization suits your CSP offering, review both processes and consider the system deployment model, technology stack, market demand, and impact level.
Federal agencies categorize CSPs’ cloud service offerings into three impact levels: low, moderate, and high. These levels refer to the severity of potential harm in the event of a breach. The higher the level, the more security and data protection the CSP must provide.
Even if a CSP doesn’t work with government agencies, adopting FedRAMP security controls as part of its business plan will provide potential customers with the peace of mind that comes from knowing they’re working with a provider the U.S. government has carefully vetted.
How long does it take to get FedRAMP certification?
The time necessary to achieve FedRAMP certification isn’t set in stone. Instead, it varies based on several factors.
First is the complexity of the system being certified. Simple systems usually undergo assessment and certification faster than complex ones. Adequate preparation is another crucial factor.
Another factor is the initial assessment phase conducted by the 3PAO. This evaluation period, and how promptly an organization responds to feedback, can affect the overall timeline significantly.
All that said, a good rule of thumb is that FedRAMP certification typically takes six to 18 months — but that estimate can vary (greatly) based on the unique characteristics of the system seeking certification, the responsiveness of the organization undergoing the process, and the efficiency of the assessment and approval phases.
FedRAMP Certification Best Practices
CSPs can follow several best practices to demonstrate their cybersecurity maturity and improve the odds that an Authorizing Official (AO) will approve your offering.
Select and Implement Technical Security Controls
Implement as many technical FedRAMP restrictions as possible. Remember, the AO will be trying to find reasons to doubt your security controls. (This is especially true if you’re using third-party tools and have a lot of API connections to different services.)
Pipeline Security for CI/CD
In theory, the Continuous Integration Continuous Deployment (CI/CD) software development method should improve and simplify security by incorporating automated testing early in development. Unfortunately, too many firms use CI/CD as an excuse to release shoddy code based solely on the results of a few difficult-to-configure automated security tests.
As a result, AOs have a healthy skepticism about CI/CD methodologies. Development teams can help AOs be more comfortable with this software development and deployment approach by demonstrating increased security maturity across the development pipeline.
Avoid Infrastructure-as-Code (IaC)-based approaches
Infrastructure-as-Code (IaC)-based approaches generally make dealing with massive infrastructures and deployments easier. That said, orchestration technologies such as CloudFormation, Azure ARM, Terraform, or similar solutions to deploy templates can run the risk of spreading known vulnerabilities throughout your infrastructure.
As a result, be aware that an IaC-based strategy will be met skeptically. Document and be prepared to address all IaC templates in use, how they’re chosen and managed, what images those templates refer to, and why those images should be trusted. You’ll also have to show that you have a solid strategy for scanning templates and recognizing their weaknesses.
Formal Threat Modeling
Software threat modeling is a field significantly more advanced than standard risk assessment. Potential attack techniques are linked to system operations and specific code parts in threat modeling.
For example, your team should consider how every stage in user authentication could be exploited or whether your software is subject to more obscure injection-type flaws. You can also use the threat modeling approach to show you know your IaC templates and security-related configurations inside and out.
This level of modeling demonstrates your understanding of your infrastructure and code.
Postponing Development Deployments to Federal Clients
Many CSPs believe that applying FedRAMP regulations uniformly across their federal and non-federal customers is too tricky. As a result, they create dedicated settings for government clients, and the commercial production environment serves as a test environment.
While this may delay the delivery of features to federal clients, it often lowers an AO’s perceived risk. If you go this route, apply security patches to both environments as soon as they become available.
Manage FedRAMP Compliance With ZenGRC
Officials from the Defense Department have stated that the objective of FedRAMP certification is to keep compliance costs low. ZenGRC can help you achieve cost-effective compliance with complicated cloud security standards and frameworks.
ZenGRC templates make self-assessments easier. Our central dashboard gives you a unified picture of all your compliance frameworks, revealing where gaps in your cybersecurity program exist and how to solve them.
Schedule a demo today to see how ZenGRC can help you achieve “Zen-mode” compliance!
What’s the relationship between COBIT and TOGAF?
Regarding enterprise architecture frameworks, The Open Group Architecture Framework (TOGAF) and Control Objectives for Information and Related Technologies (COBIT) complement each other to give leadership a better understanding of the business.
That’s because TOGAF mainly centers around developing an information technology architecture to align with the business’s goals, while the COBIT framework primarily focuses on governance. COBIT contextualizes TOGAF by relating enterprise architecture processes to every other information technology process.
Organizations that want to apply structure and improve security and compliance efforts often use multiple frameworks for maximum coverage.
What is the COBIT Framework?
The COBIT Framework is a comprehensive standard for governing and managing enterprise IT. Designed to align IT objectives with business goals, COBIT is a robust methodology utilized by enterprise architects and stakeholders globally. It focuses on information governance, risk management, and compliance to ensure adequate resource utilization while addressing the organization’s business needs.
COBIT aids in aligning technology architecture with business strategy, emphasizing the importance of effective implementation governance. The framework guides enterprise architects through governance processes and architecture change management, ensuring that technology initiatives support overarching business goals.
Organizations use COBIT to optimize their information systems architectures, efficiently addressing risks and compliance requirements. It helps create a roadmap for digital transformation, enabling enterprises to adapt to changing business landscapes. COBIT’s iterative approach facilitates flexible implementation and continual improvement, akin to the iterative phases of the Architecture Development Method (ADM) in the TOGAF framework.
What is the TOGAF Framework?
TOGAF stands as a leading enterprise architecture framework developed by The Open Group. It provides a methodology for enterprise architects to build, manage, and govern enterprise architectures. Organizations utilize the TOGAF Architecture Development Method (ADM) to structure their architecture development lifecycle, aligning business architecture, data architecture, applications architecture, and technology architecture with business strategy.
This enterprise architecture framework emphasizes business-IT alignment, enabling architects to create visions supporting the organization’s business goals. TOGAF, particularly the latest version, TOGAF 10th Edition or TOGAF 9.2, includes the Enterprise Continuum and reference models to guide architecture development.
Enterprise architects, certified through TOGAF certification training courses, utilize the framework to create architecture roadmaps and conduct architecture change management. Architects can plan migration and automation initiatives by considering use cases and leveraging the architecture repository while adhering to architecture methodology and governance.
TOGAF’s structured approach aids in developing organization-specific architectures that align with global standards and regulatory requirements. It facilitates the creation of deliverables such as white papers and guides, supporting architecture forums and enabling organizations to manage technical architecture frameworks for information management effectively.
Key Differences and Similarities Between COBIT and TOGAF
Similarities Between COBIT versus TOGAF
Both COBIT and TOGAF serve as powerful frameworks used in the realm of enterprise architecture and IT management. Despite addressing different aspects, they share commonalities:
- Alignment with Business Goals: Both frameworks emphasize aligning IT strategies and assets with overarching business objectives. COBIT focuses on governance and risk management, while TOGAF emphasizes developing architectures that support business strategies.
- Iterative Methodologies: Both COBIT and TOGAF utilize iterative methodologies in their approach. COBIT’s iterative nature enables continual improvement in governance and risk management, similar to TOGAF’s iterative ADM (Architecture Development Method), allowing architects to refine enterprise architectures over time.
- Stakeholder Engagement: Both frameworks stress the importance of involving stakeholders in decision-making. COBIT ensures alignment between IT and business stakeholders, while TOGAF encourages collaboration among various stakeholders involved in architecture development.
Differences Between COBIT versus TOGAF
Despite their similarities, COBIT and TOGAF also exhibit distinct differences:
- Focus and Scope: COBIT primarily focuses on governance, risk management, and compliance in IT, while TOGAF is more centered on enterprise architecture development, encompassing business, data, applications, and technology architecture.
- Purpose and Usage: COBIT is often utilized to manage IT-related risks and ensure effective governance, while TOGAF is employed to create and manage enterprise architectures aligned with business strategies.
- Levels of Detail: COBIT offers detailed guidelines and controls for IT governance and management, whereas TOGAF provides a broader framework and methodology for developing and managing enterprise architectures, offering a more comprehensive approach.
Core Distinctions: COBIT vs. TOGAF
The core distinctions between COBIT and TOGAF revolve around their primary objectives and applications:
- COBIT’s Governance Emphasis: COBIT puts a stronger emphasis on governance, risk management, and compliance, providing detailed controls and guidelines to ensure effective governance of IT processes.
- TOGAF’s Architecture Development Focus: TOGAF, on the other hand, emphasizes architecture development, offering a structured methodology (ADM) for architects to design, plan, implement, and govern enterprise architectures that align with business goals.
- Complementary Nature: While COBIT and TOGAF serve different primary purposes, they are often used in conjunction, with COBIT guiding the governance aspects and TOGAF facilitating the development and management of enterprise architectures that adhere to the established governance principles.
Choosing the Right Framework for Your Needs
The appropriate framework is pivotal for effective governance, risk management, and business alignment. When deciding between COBIT and TOGAF, several crucial factors come into play:
Scope and Objectives
Consider whether your focus is on meticulous IT governance, risk management, compliance (COBIT), or comprehensive enterprise architecture development aligned with business strategy (TOGAF).
Organizational Goals
Evaluate which framework better aligns with your long-term organizational strategies. COBIT might cater to organizations prioritizing control and risk management, while TOGAF could suit those emphasizing architecture development and business-IT alignment.
Resource Utilization
Assess the resources available within your organization. COBIT might demand detailed controls and governance structures, while TOGAF may require expertise in architecture development.
Collaboration and Stakeholder Involvement
Examine how each framework involves stakeholders. TOGAF encourages collaboration among diverse stakeholders, whereas COBIT ensures alignment between IT and business stakeholders.
Choose a framework that meets your immediate needs and allows adaptability for future growth, complying with evolving industry standards and regulatory requirements.
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How do I Prepare for an ISO Surveillance Audit?
An ISO (International Organization for Standardization) surveillance audit is an occasional review of a company’s quality management system or information security management system (ISMS) by an accredited auditor, to confirm that the company still meets ISO standards, after the company had already achieved ISO compliance at some point in the past.
To put it more simply: an ISO surveillance audit checks on your business to confirm whether you’re still on the ISO path.
What Is an ISO 9001 surveillance audit?
An ISO 9001 surveillance audit is a part of the process to monitor and maintain compliance with the ISO 9001 standard. ISO 9001 is a standard for quality management systems, and organizations that are certified to this standard must undergo regular surveillance audits to assure they continue to meet the standard’s requirements.
How often does the ISO 9001 surveillance audit occur?
Once a company achieves ISO 9001 compliance (which includes an outside audit) and obtains an ISO certification, that certification is valid for three years. ISO surveillance audits are then conducted in each of the next two years after certification — at which point, the company then needs to be re-certified. (The surveillance audits should help your organization to be ready for recertification when that time comes.)
The surveillance audit will always review specific areas that apply to certification audits. Depending on your organization and the specific ISO standards for which you are seeking certification, the audit areas may entail:
- The performance and maintenance of the organization’s systems;
- Preventive and corrective actions and processes;
- The effectiveness of the organization’s internal auditing process;
- The implementation of recommendations following the company’s internal audits;
- Regular management reviews of the ISO implementation;
- Customer satisfaction rates;
- Updates to the company’s documentation systems.
The surveillance audit will be conducted by an auditor accredited by the same certification body that accredited the original ISO auditor. That auditor will review any nonconformities from previous inspections, how effective the company’s systems are within the context of its audits, any new activities that have begun since the previous certification, and previous results.
What does a surveillance audit cover?
A surveillance audit for ISO 9001 can cover a range of areas within an organization. The specific scope can vary based on factors such as the organization’s size, complexity, and the auditors’ focus. Broadly speaking, however, a surveillance audit tends to address the following.
Quality management policy and objectives. Auditors will assess whether the organization has a documented quality management policy and clear quality objectives that are aligned with the ISO 9001 standard.
Quality manual and documentation. The audit may review the organization’s quality manual and documentation to assure that both are up to date and accurately reflect the organization’s processes and quality management system.
Management responsibility. This includes assessing the commitment of top management to the quality management system, their involvement in setting quality objectives, and their understanding of customer and regulatory requirements.
Resource management. Auditors may evaluate the allocation of resources, including personnel, equipment, and facilities, to assure that those items support the quality management system‘s objectives.
Product realization. This involves assessing the processes from design and development (if applicable) through production, testing, and delivery to assure they meet the organization’s quality standards.
Measurement, analysis, and improvement. Auditors will look at how the organization collects and analyzes data and information to measure its performance and drive continuous improvement. This may include a review of corrective and preventive actions taken in response to nonconformities.
Customer focus. The organization’s commitment to meeting customer requirements and assuring customer satisfaction is a key element of ISO 9001. Auditors may assess how the organization gathers and acts on customer feedback.
Internal audits. The surveillance audit may review the organization’s internal audit program to assess whether internal audits are performed effectively and that corrective actions are taken as needed.
Control of non-conforming products or services. Auditors will check how the organization identifies, handles, and mitigates non-conformities in its products or services.
Supplier management. This involves evaluating how the organization manages its relationships with suppliers, including how it assesses and monitors supplier performance.
Risk management. Assessing how the organization identifies and manages risks and opportunities related to its processes and quality management system.
Training and competence. Assuring that employees have the necessary skills and training to perform their roles effectively.
The scope and depth of the surveillance audit may vary from one audit to another, and it can also change over time based on the organization’s evolving needs and risks. Organizations must work closely with their auditor to determine the specific areas and processes that will be audited during each surveillance audit.
For additional information, refer to the Guide to ISO Certification and ISO Compliance.
Preparing for your ISO surveillance audit
It’s crucial to prepare for an ISO surveillance audit, to assure that your organization continues to meet its requirements for ISO 9001 compliance. Effective preparation involves careful planning, documentation review, process evaluation, and staff readiness. Here’s a step-by-step explanation of how to prepare for your ISO surveillance audit.
Review your quality management system (QMS). Start by reviewing your organization’s quality management system (QMS) documentation, including your quality manual, procedures, and work instructions. Confirm that these documents accurately reflect your current processes and that they are up to date. Any changes or improvements made since the last audit should be well-documented.
Internal audits. Conduct thorough internal audits of your QMS to identify and address any non-conformities. These internal audits should be carried out by trained auditors who can impartially assess the effectiveness of your QMS. Correct any issues identified during these internal audits and assure that corrective actions are well-documented.
Training and awareness. Assure that your employees are aware of the ISO 9001 standard, your quality policy, and quality objectives. Training should be provided to address any knowledge gaps, and employees should understand their roles in the QMS. It’s essential that staff can explain and demonstrate their understanding of the QMS processes to the auditors.
Documented information. Gather and organize all the necessary documented information for the audit. This includes records of key processes, evidence of compliance, and records of performance, such as customer feedback, supplier evaluations, and corrective action reports.
Management review. Hold a management review meeting to assess the performance of your QMS, discuss any issues, and set objectives for improvement. Assure that this meeting is well-documented and that any decisions or actions are clear.
Communication. Communicate the upcoming surveillance audit to all relevant personnel so that they are aware of the audit date, scope, and purpose. Encourage an atmosphere of openness and cooperation among employees and emphasize the importance of their roles in maintaining the QMS.
Auditor familiarization. If possible, provide the surveillance audit team with access to relevant documentation and an overview of your organization’s operations in advance. This will help auditors become familiar with your processes and make the audit process more efficient.
Mock audits. Conduct mock or practice audits with internal auditors or colleagues who are not directly involved in the areas being audited. This will help identify any gaps or issues in your readiness for the surveillance audit.
Continuous improvement. Assure that your organization has a culture of continuous improvement and that you can demonstrate how you’ve acted upon lessons learned from previous audits to enhance your QMS.
Pre-audit meeting. Before the actual surveillance audit, schedule a meeting with the surveillance audit team to discuss the scope, objectives, and expectations. This is an opportunity to clarify any questions and set the tone for the audit.
Effective preparation not only helps to assure a successful audit. It also contributes to the continued success of your organization’s quality management system.
Maintain your ISO compliance with ZenGRC
Sustaining ISO surveillance compliance is an intricate, ongoing endeavor that demands vigilant management and monitoring of an organization’s quality management system.
ZenGRC offers an efficient and streamlined solution to assure continuous ISO standard compliance. Its extensive array of tools and features simplifies the preparations and navigation of surveillance audits. ZenGRC facilitates the maintenance of current documentation, the tracking of corrective actions, and the scheduling of internal audits, all within a user-friendly, consolidated platform.
By using ZenGRC, organizations can not only attain initial certification, but also consistently exhibit their dedication to compliance, cultivating trust among stakeholders and upholding operational excellence in alignment with ISO standards.