Data audit and compliance encompasses the systematic examination of an organization's data handling practices to ensure adherence to regulatory requirements, industry standards, and internal policies.
Key Regulations
- GDPR: EU data protection—penalties up to 4% of global revenue
- CCPA/CPRA: California privacy—$7,500 per intentional violation
- HIPAA: Healthcare data—up to $1.5 million annually
- PCI DSS: Payment card data—fines from card brands
- SOX: Financial reporting—criminal penalties possible
Core Audit Components
Audit Trail Management
Capture who, what, when, where, and outcome for all data access. Protect logs from tampering and retain according to regulations.
Access Control Auditing
Review privileged accounts monthly, sensitive data access quarterly, standard users semi-annually.
Data Flow Documentation
Document collection points, processing activities, storage locations, third-party sharing, and cross-border transfers.
Building a Compliance Program
- Understand Obligations: Identify applicable regulations
- Assess Current State: Conduct gap analysis
- Implement Controls: Technical, administrative, physical
- Monitor Continuously: Automated compliance monitoring
- Document and Report: Maintain evidence, generate reports
Key Metrics
Track audit finding closure rate, policy compliance percentage, access review completion, incident response time, and training completion rates.