Sunday, Aug 17 2014

Conduct Regular System Checks to Survive Compliance and Security Audits

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Conduct Regular System Checks to Survive compliance and security audits

No one enjoys an audit. You know that compliance and security are vital areas for your IT department, but facing an audit in these areas is like heading to the dentist for a root canal. Audits always seem to come at the wrong time. And it doesn’t help that no matter how prepared you think you are, the compliance auditor is going to find something wrong — after all, they have to keep their job.

Fortunately, you don’t have to suffer with anxiety every time a security or compliance audit is announced. By proactively addressing compliance and security issues, and performing regular checks that make compliance a year-round focus instead of an annual scramble, your IT department can rest easy when the auditor shows up.

Here’s what you can do to handle compliance issues regularly and stay prepared for audits 365 days a year, while also handling your day-to-day IT project load.

Plan (and budget) compliance work for IT every year

Like most of the IT industry, compliance and regulations change continually. It’s essential for your IT department to work proactively on compliance every year, rather than simply catching up before (or after) an audit. The best solution here is to plan realistic budgets and implement new compliance measures as they come up, instead of waiting for an auditor to point out the fact that they’re missing.

Designate a compliance control point

Rather than spreading compliance tasks through your IT team on an as-needed basis, which often results in a last-minute rush before an audit, appoint one person as your compliance central command to plan and budget your needs. This ensures someone is always keeping an eye on compliance, and you’ll know about potential problems before they become major issues.

Some of the responsibilities for your control point should include:

  • Reading the latest compliance and security publications
  • Attending conferences on new or changing regulatory and security measures
  • Scheduling the IT work required to ensure consistent compliance

Perform regular self-audits

Waiting for your regulators to show up for an audit can throw your IT department into a minor panic. To help control audit fever, create a regular audit schedule and perform “dry runs” with either internal auditors, or a third party that is separate and distinct from your regulators. In addition to helping your department understand and experience audits, these practices also help to strengthen your company’s security and governance positioning.

Prep a single file for your documentation prior to an audit

When you have an upcoming audit, prepare a single binder or efile that contains all of your documentation for compliance, including procedures, policies, system flow diagrams, and anything relevant that pertains to governance or security. Presenting this file to an auditor not only makes their job easier, but also creates a favorable first impression of your preparedness — which can positively impact your overall assessment.

By taking proactive steps to address security and compliance issues before audits happen, you and your IT department can ease audit anxiety and come through the experience quickly and painlessly. Speak to the staffing experts at The Armada Group today, to ensure your company is compliant and to ensure all your staffing needs are met.

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