Automating Policies and Procedures

Automating Policy and Procedure Management

Tools and Techniques

Compliance Management Platforms

• Overview
  • These platforms centralize and streamline the management of compliance-related tasks, ensuring that policies and procedures are consistently applied across the organization.
  • Example: MetricStream, RSA Archer.

Document Management Systems (DMS)

• Overview
  • DMS are designed to manage, store, and track electronic documents and images of paper documents. They ensure that compliance documents are easily accessible, properly versioned, and securely stored.
  • Example: SharePoint, DocuWare.
• Automated Features
  • Version Control
    • Automatically tracks changes and maintains version history, ensuring that the latest version is always available.
    • Example: Using Git for version control of policy documents.
  • Access Management
    • Automates the assignment of access permissions based on roles, ensuring that only authorized personnel can access sensitive compliance documents.
    • Example: Implementing role-based access controls (RBAC) using Okta.

Audit Management Systems

• Overview
  • These systems automate the planning, execution, and documentation of audits, ensuring compliance with internal policies and external regulations.
  • Example: AuditBoard, Wolters Kluwer TeamMate.
• Automated Features
  • Audit Planning and Scheduling
    • Automates the creation of audit plans and schedules, ensuring that audits are conducted regularly and on time.
    • Example: Using AuditBoard to automate the audit schedule.
  • Issue Tracking and Resolution
    • Tracks identified issues and their resolution status, ensuring that all compliance gaps are addressed promptly.
    • Example: Implementing JIRA for automated issue tracking and resolution.

Examples of Automated Policies and Procedures Across Frameworks

GDPR

• Data Protection Policy

  • Automating the enforcement and monitoring of data protection policies.
  • Example: Using OneTrust to automate GDPR compliance tasks, including data protection policy enforcement.

• Data Breach Response Procedure

  • Automating the detection and response to data breaches.
  • Example: Implementing Splunk to automate the detection of potential data breaches and initiating predefined response procedures.

HIPAA

• Privacy Policy

  • Automating the management and enforcement of privacy policies to ensure the protection of patient health information.
  • Example: Using Compliancy Group to automate HIPAA privacy policy management and enforcement.

• Incident Response Procedure

  • Automating the process of incident detection, reporting, and response in healthcare settings.
  • Example: Implementing Rapid7 InsightIDR for automated incident detection and response in compliance with HIPAA requirements.

PCI-DSS

• Information Security Policy

  • Automating the creation, distribution, and enforcement of information security policies to protect cardholder data.
  • Example: Using Tripwire to automate compliance with PCI-DSS information security policies.

• Vulnerability Management Procedure

  • Automating the identification, assessment, and remediation of vulnerabilities in payment systems.
  • Example: Implementing Qualys for automated vulnerability management in compliance with PCI-DSS.

NIST

• Access Control Policy

  • Automating the implementation and monitoring of access control policies to ensure that only authorized users have access to sensitive systems and data.
  • Example: Using CyberArk for automated management of access control policies in compliance with NIST standards.

• Continuous Monitoring Procedure

  • Automating the continuous monitoring of systems to detect and respond to security incidents.
  • Example: Implementing Splunk for automated continuous monitoring and incident response.