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Compliance is a complex and dynamic field that requires both knowledge and skill from MSPs. One of the key distinctions that MSPs need to make is between preparing for an audit or certification and performing the actual testing or auditing of an environment. These are two different processes that have different goals and outcomes.
Some of the main aspects of audits and certifications in a compliance context are:
• Audits and certifications are formal assessments of an environment’s compliance with specific standards or regulations.
• Audits and certifications are usually conducted by independent third parties who have the authority and expertise to verify compliance.
• Audits and certifications can have significant impacts on an organization’s reputation, credibility, and business opportunities.
On the other hand, some of the main aspects of preparation for an audit or certification are:
• Preparation for an audit or certification is an ongoing process that involves identifying, implementing, and documenting compliance controls and practices.
• Preparation for an audit or certification is usually done by the organization itself or by a trusted partner who has the knowledge and experience to advise on compliance matters.
• Preparation for an audit or certification can help an organization improve its security, efficiency, and performance.
This leads to the difference between consulting and testing in a compliance setting:
• Consulting is the process of providing guidance, advice, and support on compliance issues to an organization or a partner.
• Testing is the process of evaluating, verifying, and validating compliance controls and practices in an environment.
• Consulting is more aligned with the role of preparation for an audit or certification, while testing is more aligned with the role of performing an audit or certification.
Therefore, the role of the MSP in audits and certifications is:
• To provide preparation and consulting services to their clients or partners who need to comply with specific standards or regulations.
• To avoid performing testing or auditing services on their own infrastructure, networks, or objects that they manage, as this would create a conflict of interest and compromise the integrity of the assessment.
• To cooperate with the independent third parties who conduct the testing or auditing services on their clients’ or partners’ environments, by providing access, documentation, and evidence as needed.