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Compliance automation is the process of using technology, such as artificial intelligence (AI), to continually check systems for compliance. Compliance automation solutions replace manual processes and track all compliance procedures in one location1. It empowers businesses to streamline compliance-related workflows, such as risk assessments, control evaluations, testing, and corrective action planning. Automation tools operate based on a company’s security frameworks and compliance requirements 2. It is applicable to both IT and OT environments because it provides a flexible and scalable approach to managing compliance across different systems and applications. Compliance automation can be used to address multiple needs of organizations, from security and compliance to efficiency and cost control 3.
The key elements of compliance automation in IT/OT systems include:
- Risk assessment: This involves identifying and assessing the risks and vulnerabilities of IT/OT systems, processes, and controls. This includes conducting a comprehensive and accurate inventory of assets, identifying the potential threats and impacts of cyberattacks, and evaluating the effectiveness and efficiency of existing controls 3.
- Compliance management: This involves ensuring that IT/OT systems comply with relevant regulations and standards that govern compliance. This includes conducting due diligence on suppliers, monitoring their compliance status, and enforcing contractual obligations 4.
- Incident response: This involves developing and implementing an incident response plan that outlines the steps to take in the event of a compliance incident. This includes identifying the incident, containing the incident, investigating the incident, and notifying the affected parties 5.
To create a secure and compliant enterprise environment, businesses can adopt the following steps:
- Identify the compliance risks: Businesses should identify the compliance risks that are associated with their operations and IT/OT systems, processes, and controls. This includes conducting a comprehensive and accurate inventory of assets, identifying the potential threats and impacts of compliance incidents, and evaluating the effectiveness and efficiency of existing controls 3.
- Establish compliance automation controls: Businesses should establish compliance automation controls that address the risks and vulnerabilities of their operations and IT/OT systems, processes, and controls. This includes implementing technical and procedural controls that align with the regulatory frameworks and industry-specific standards, as well as monitoring and testing the effectiveness and efficiency of the controls 3.
- Ensure compliance with regulations and standards: Businesses should ensure compliance with the relevant regulations and standards that govern the use and operation of IT/OT systems. This includes understanding the requirements and expectations of the regulations and standards, as well as implementing appropriate policies, procedures, and controls to ensure compliance 4.
- Develop and implement an incident response plan: Businesses should develop and implement an incident response plan that outlines the steps to take in the event of a compliance incident. This includes identifying the incident, containing the incident, investigating the incident, and notifying the affected parties 5.
More information and resources on compliance automation in IT/OT systems:
- What Is Compliance Automation? | Fortinet
- What is Compliance Automation? — RiskOptics – Reciprocity
- Compliance Automation: What It Is and Why It Matters | Onspring
- Compliance Management: What You Need to Know | Digital Guardian
- Incident Response Planning: 6 Steps to Developing an Effective Plan | Digital Guardian
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