Compliance Automation Readiness Checklist

1

Assessment of existing compliance workflows and documentation

Do you have documented compliance procedures and policies?

Are compliance tasks tracked in a centralized system?

Do you maintain compliance calendars and deadlines?

Are audit trails and evidence collection automated?

Do you have standardized compliance reporting templates?

2

Technical capabilities for automation implementation

Do you have APIs or integrations between compliance and IT systems?

Are your compliance tools cloud-based or SaaS solutions?

Do you use workflow automation tools (Zapier, Microsoft Power Automate)?

Are your systems integrated with GRC (Governance, Risk, Compliance) platforms?

Do you have automated data collection and monitoring capabilities?

Are security information and event management (SIEM) systems in place?

3

Data collection, processing, and reporting capabilities

Do you have automated data collection from multiple sources?

Are compliance metrics and KPIs automatically calculated?

Do you use dashboards for real-time compliance monitoring?

Are compliance reports generated automatically?

Do you have automated alerts for compliance violations?

4

Workflow automation and operational efficiency

Are routine compliance tasks automated (reminders, escalations)?

Do you use robotic process automation (RPA) for repetitive tasks?

Are approval workflows automated with escalation procedures?

Do you have automated document version control and review cycles?

Are training and certification tracking automated?

Do you use AI/ML for compliance risk assessment and prediction?

5

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