Description
The Compliance and Audit Management SOP establishes a structured process for monitoring compliance with ISO 27001 standards and managing both internal and external audits. This SOP outlines procedures for conducting regular compliance checks, scheduling audits, tracking audit findings, and implementing corrective actions, all to ensure the Information Security Management System (ISMS) is effective, secure, and aligned with regulatory and contractual obligations.
Following the Compliance and Audit Management SOP allows organizations to maintain a proactive approach toward information security, ensuring that they consistently meet ISO 27001:2022 requirements. Through a clear audit schedule and regular internal reviews, this SOP identifies potential compliance gaps and enables timely corrective actions. This policy is linked closely to P-ISMS-004: Information Security Incident Management, P-ISMS-007: Training and Awareness Program, and P-ISMS-013: Monitoring and Logging Policy, forming a robust framework for maintaining security and ensuring compliance across the organization.
The Compliance and Audit Management SOP defines roles and responsibilities, including those of the Compliance Officer, Information Security Officer, Department Heads, and Internal Audit Team, to ensure accountability at every stage of compliance and audit activities. This SOP provides a clear process for identifying applicable laws, standards, and regulations that affect the ISMS, as well as a system for updating the ISMS to reflect any changes in compliance requirements. This structured approach minimizes the risks of non-compliance and enhances the organization’s reputation as a reliable, security-focused entity.
This SOP also includes guidelines for managing external audits, from preparation through audit completion. By following the procedures in this Compliance and Audit Management SOP, organizations ensure they are fully prepared for third-party assessments, which validates the integrity of their ISMS and builds client and partner confidence in their information security practices. The corrective action process detailed in this SOP ensures that any findings from audits are addressed promptly, enhancing security controls and strengthening the ISMS over time.
Periodic audits and regular compliance assessments help organizations identify areas for improvement and make informed decisions regarding their ISMS. This Compliance and Audit Management SOP ensures that organizations can maintain ISO 27001 certification, reduce risks, and safeguard their information assets. This policy is essential for any entity seeking to maintain a secure and resilient ISMS.
The following forms are associated to this SOP:
- FORM-ISMS-015-1– Compliance Requirements Checklist
- FORM-ISMS-015-2– Internal Audit Plan
- FORM-ISMS-015-3– Internal Audit Report
- FORM-ISMS-015-4– External Audit Report
The forms are included in this SOP at no additional cost.
