An ADHICS surveillance audit rarely comes with drama, but it always comes with expectations. You may not receive months of notice. You may not get a second chance to explain missing evidence. Yet, this audit decides whether your healthcare organization continues to meet Abu Dhabi’s cybersecurity and information governance standards.
If you work with patient data, clinical systems, or Malaffi integration, surveillance audits are not optional. They validate whether your controls still work after initial certification. More importantly, they test how seriously you treat compliance in daily operations, not just during audits.
This guide walks you through a practical, real-world ADHICS surveillance audit preparation checklist. You will learn what auditors review, how to prepare evidence, and how to avoid last-minute panic. By the end, you will know exactly where to focus your efforts and how to walk into the audit with confidence.
Understanding an ADHICS Surveillance Audit
An ADHICS surveillance audit is not a full certification audit. Instead, it verifies whether your organization continues to comply with ADHICS v2 controls after initial approval.
Auditors focus on high-risk domains, recent changes, and corrective actions from previous audits. They expect evidence that controls operate consistently, not just exist on paper. Surveillance audits often feel tougher because auditors assume baseline compliance already exists.
You should treat these audits as continuous compliance checkpoints, not one-time events.
Why ADHICS Surveillance Audit Matters
Surveillance audits protect Abu Dhabi’s healthcare ecosystem from gradual compliance erosion. Over time, staff changes, system upgrades, and vendor onboarding can weaken controls.
For Malaffi-connected entities, these audits also confirm that shared health information remains secure, accurate, and available. Failing a surveillance audit can trigger corrective action plans, re-audits, or regulatory escalation.
When you prepare well, audits become validation instead of confrontation.
ADHICS Surveillance Audit Scope and Frequency You Should Expect
ADHICS surveillance audits usually occur annually or as defined by the Department of Health. The scope depends on your risk profile, data sensitivity, and past audit results.
Auditors may focus on governance, access control, incident management, vendor security, or technical safeguards. They often review changes implemented since the last audit.
Knowing your scope early helps you prioritize preparation instead of reacting late.
Governance and Policy Readiness Checklist for ADHICS Surveillance Audit
Strong governance sets the tone for the entire audit. Auditors start here because weak governance affects every other control.
You should ensure your ADHICS-aligned policies remain current, approved, and communicated. Review your information security policy, risk management policy, incident response plan, and vendor management framework.
Policies must reflect real operations. If your systems or workflows changed, update policies accordingly. Auditors quickly spot outdated documents.
Risk Management and Risk Treatment Evidence
Auditors expect a living risk management process. Your risk register should show identified risks, assessed impact, and defined treatment actions.
Make sure risk assessments cover clinical systems, Malaffi integrations, cloud platforms, and third-party vendors. Risk treatment plans should include timelines, owners, and status updates.
You should also prepare evidence showing that leadership reviews risks regularly.
Access Control and Identity Management Preparation
Access control remains a high-priority audit area. You must show that only authorized users access sensitive systems and patient data.
Prepare user access lists, role definitions, approval workflows, and periodic access review records. Auditors often request joiner, mover, and leaver samples.
If you use privileged access accounts, document how you control, monitor, and review them. Weak access governance leads to immediate findings.
Malaffi Integration and Data Sharing Controls
If your organization integrates with Malaffi, expect focused scrutiny. Auditors review how you protect shared health data throughout its lifecycle.
Prepare integration architecture diagrams, API security documentation, data flow maps, and audit logs. You should also show consent management processes and data integrity controls.
Any Malaffi-related incident or change since the last audit must be documented and explained clearly.
Incident Management and Breach Handling Readiness
Auditors want proof that you can detect, respond to, and learn from security incidents. This includes cyber incidents, data breaches, and system outages.
Prepare incident response procedures, incident logs, breach notification records, and post-incident reviews. Even minor incidents must show proper handling.
Testing records, such as tabletop exercises or simulations, strengthen your audit position.
Vendor and Third-Party Security Documentation
Third-party risk management often causes audit findings. ADHICS expects you to control vendor access and data handling effectively.
Prepare vendor inventories, security assessments, contracts, and SLAs. Contracts should include data protection, breach notification, and audit rights.
If vendors access Malaffi or clinical systems, document monitoring and access controls clearly.
Technical Security Controls Evidence
Auditors review technical safeguards to confirm policies translate into action. This includes endpoint protection, network security, encryption, and system monitoring.
Prepare screenshots, configuration reports, and logs showing antivirus status, patch management, firewall rules, and intrusion detection.
Consistency matters. Tools must align with documented controls.
Business Continuity and Disaster Recovery Preparedness
Healthcare operations cannot stop during disruptions. Auditors review how well you prepare for system failures or emergencies.
Prepare business continuity plans, disaster recovery procedures, backup schedules, and test results. Evidence of recent testing strengthens credibility.
If you rely on cloud or third-party infrastructure, include their resilience evidence as well.
Training and Awareness Records
Staff awareness supports every control. Auditors expect proof that employees understand security responsibilities.
Prepare training attendance records, awareness materials, phishing simulations, and onboarding programs. Training should cover data protection, incident reporting, and acceptable use.
Regular refreshers matter more than one-time sessions.
Internal Audit and Continuous Monitoring
Surveillance audits reward organizations that self-monitor. Internal audits, compliance reviews, and corrective actions show maturity.
Prepare internal audit reports, issue trackers, and closure evidence. Auditors prefer organizations that find and fix gaps proactively.
Continuous monitoring tools and metrics further strengthen your position.
Documentation Organization and Audit Logistics
Even strong controls fail audits when evidence stays scattered. You should organize documents logically and label them clearly.
Assign an audit coordinator, define response owners, and rehearse evidence retrieval. Smooth logistics reduce stress and prevent mistakes.
Auditors appreciate clarity and cooperation.
Common Surveillance Audit Mistakes to Avoid
Organizations often underestimate surveillance audits. Common mistakes include outdated policies, incomplete evidence, poor version control, and inconsistent explanations.
Another frequent issue involves over-explaining instead of answering directly. Clear, concise responses work best.
Preparation prevents embarrassment.
An ADHICS surveillance audit is not about perfection. It is about consistency, accountability, and continuous improvement. When you follow a structured preparation checklist, audits become manageable milestones instead of disruptive events.
By aligning governance, technical controls, Malaffi integration, and staff awareness, you demonstrate real compliance maturity. Preparation today protects your organization tomorrow.
FAQs
1. How often does an ADHICS surveillance audit occur?
Surveillance audits usually occur annually or as defined by the Department of Health.
2. Is a surveillance audit easier than initial certification?
It is often more focused but can feel stricter because baseline compliance is assumed.
3. Do Malaffi-integrated entities face additional scrutiny?
Yes, auditors closely review data sharing, integrity, and security controls.
4. What documents are most commonly requested?
Policies, risk registers, access reviews, incident logs, and vendor contracts.
5. What happens if gaps are identified during the audit?
You may need to submit corrective action plans and undergo follow-up reviews.