Follow these best practices to make your compliance program more effective.
Start with Good Data
Choose the right foundation early:
• Choose the right frameworks—Select frameworks that match your actual compliance requirements
• Customize controls—Tailor controls to your organization’s context
• Set realistic timelines—Give your team enough time to do quality work
Build a Sustainable Process
Compliance works best when it’s continuous:
• Use programs, not just assessments—Don’t cram everything into audit season. Spread compliance work throughout the year
• Automate where possible—set up recurring tasks so nothing falls through the cracks
• Assign clear ownership—Every control, task, and issue should have someone responsible
Collect Evidence Continuously
Evidence is easier when gathered over time:
• Don’t wait for audits—collect evidence as activities are completed
• Be thorough—Better to have too much evidence than too little
• Keep it organized—Use clear naming and descriptions for artifacts
Collaborate Effectively
Teamwork makes compliance smoother:
• Divide and conquer—Assign controls based on expertise
• Communicate progress—Regular check-ins help identify blockers early
• Document decisions—Use comments and descriptions to explain reasoning
Prepare for Audits
Stay ahead of audit pressure:
• Review before sharing—Check reports for completeness and accuracy
• Address gaps early—Don’t wait until the auditor asks
• Keep your program healthy—A high health percentage shows continuous compliance
Common Pitfalls to Avoid
Avoid these frequent compliance mistakes:
• Waiting until the last minute to gather evidence
• Not assigning clear owners to tasks
• Ignoring overdue tasks
• Copying responses without tailoring them to your organization
• Forgetting to update recurring task schedules when processes change