Suggestions
Patrick Sullivan
Director of Customer Success at A-LIGN
Patrick Sullivan is a seasoned professional with over 20 years of experience in the IT security and compliance industry. He holds a Doctor of Philosophy - PhD in Information Technology from the University of the Cumberlands, a Master of Science - MS in Computer and Information Systems Security/Information Assurance from Western Governors University, and a Bachelor of Applied Science (BASc) in Network Security and Forensics from Fountainhead College of Technology.
Currently, Patrick Sullivan serves as the Vice President of Customer Success at A-LIGN. He has held multiple key positions at A-LIGN in the past, including Director of Customer Success, Director of Enterprise Accounts, Manager, Associate Manager, and Senior Consultant. Prior to this, he was the Senior Director of MSSP and Corporate Infrastructure at Sword & Shield Enterprise Security, Inc., where he also served as Enterprise Consultant and Managing Consultant-PCI. Additionally, he has worked as the Director of Technical Account Management at TekLinks and as an IT Instructor at Fountainhead College of Technology.
Patrick Sullivan's vast professional journey also includes experiences such as being the Director of Medical Information Services at Lincoln Memorial University, Onsite IT Manager at Rodefer Moss Technologies Group, IT Manager at Rodefer Moss Technologies Group, and Instructor at Fountainhead College of Technology. He has also been a part of the Unified Compliance Framework as an Advisory Board Member at AdvisoryCloud.
Highlights
✅ Basic Elements Needed for the AI Impact Assessment✅
To build a fully compliant ISO42001 AIMS, you’ll need to ensure you design, build, and document your AI Impact assessment process thoroughly. Based on ISO42005, the key elements for performing an AI Impact Assessment include:
1️⃣ Scope Definition: Clearly define the scope of the assessment. This includes identifying the AI system, its intended and unintended uses, relevant interested parties, and the specific impacts that need to be considered (Clause 5.2).
2️⃣ AI System Information: Document the details of the AI system, including its features, purpose, deployment environment, and any relevant data information and quality aspects (Clause 5.3).
3️⃣ Impact Analysis: Identify and assess the potential benefits and harms related to the AI system. This includes considering impacts on accountability, transparency, fairness, discrimination, privacy, and environmental concerns (Clauses 5.8.2 and 5.8.3).
4️⃣ Consultation with Interested Parties: Engage relevant interested parties, such as users, developers, and those indirectly affected, to gain insights and address their concerns (Clause 5.7).
5️⃣ Data and Model Information: Ensure that data quality and model development processes are documented, including details on algorithms, model performance, and risk management (Clauses 5.4 and 5.5).
6️⃣ Mitigation Measures: Develop strategies for mitigating any identified risks, including defining thresholds for sensitive uses and establishing monitoring processes (Clause 4.8).
7️⃣ Documentation and Reporting: Record the outcomes of the assessment and establish reporting mechanisms for internal and external stakeholders (Clauses 4.10 and 5.1).
For help getting started, please reach out!
A-LIGN #iso42001 #iso42001 #TheBusinessofCompliance #ComplianceAlignedtoYou
Tagging Walter Haydock because he has been so vocal about this process. His expertise and ideas should be heard and applied.
Many of you are feeling overwhelmed by the new DORA requirements. Today I wanted to share a few more thoughts on leveraging your existing ISO Management Systems to conform to this new regulation.
- ICT Risk Management DORA Req: Identify, assess, and mitigate ICT risks.
- ISO27001 : Risk assessments (6.1.2), risk treatment (8.2).
- ISO22301 : Business impact analysis (8.2).
- ISO31000 : Comprehensive risk assessment (6.4).
- ISO27036 : Cybersecurity requirements for third-parties (5.2).
- Incident Reporting and Management DORA Req: Implement mechanisms for prompt incident detection, management, and reporting.
- ISO27001 : Incident response (6.1.3, 8.3).
- ISO22301 : Continuity plans (8.4), testing plans (8.5).
- ISO31000 : Risk management strategies (6.5).
- ISO27036 : Supplier risk management (8.4).
- Third-Party Risk Management DORA Req: Manage ICT third-party service providers.
- ISO27001 : External provider controls (8.1.4, Annex A.15).
- ISO22301 : Third-party risk assessment (8.2.3), continuity strategies (8.3).
- ISO31000 : Context understanding (6.3.3), organizational context (5.4.1).
- ISO27036 : Supplier requirements (8.1).
- Cybersecurity Measures and Policies DORA Req: Develop and implement robust cybersecurity measures and policies.
- ISO27001 : Leadership commitment (5.1), control objectives (Annex A).
- ISO22301 : Continuity planning (8.1), objectives (6.2).
- ISO31000 : Risk treatment plans (6.5.3).
- ISO27036 : Cybersecurity requirements for suppliers (8.2).
- ICT System Security DORA Req: Ensure secure ICT systems.
- ISO27001 : Secure design (8.2.2), secure communication (Annex A.13).
- ISO22301 : Continuity plans (8.4.4), recovery plans (8.4.5).
- ISO31000 : Communication (6.2), risk analysis (6.4.3).
- ISO27036 : Supplier performance monitoring (8.3).
- Monitoring and Continuous Improvement DORA Req: Establish continuous monitoring and improvement processes.
- ISO27001 : Performance monitoring (9.1), corrective actions (10.2).
- ISO22301 : Nonconformities (10.1), process improvement (10.2).
- ISO31000 : Risk management review (6.6), framework improvement (5.7).
- ISO27036 : Supplier performance evaluation (8.4).
- Governance and Accountability DORA Req: Define clear governance structures and accountability mechanisms.
- ISO27001 : Roles and responsibilities (5.3), management review (9.3).
- ISO22301 : Leadership commitment (5.1), continuity roles (5.3).
- ISO31000 : Risk management commitment (5.2), accountability (5.4.3).
- ISO27036 : Supplier relationship management (8.1).
- Documentation and Reporting DORA Req: Maintain comprehensive documentation and reporting mechanisms.
- ISO27001 : Documentation (7.5), risk treatment documentation (6.1.3).
- ISO22301 : Continuity documentation (7.5), internal audits (9.2).
- ISO31000 : Reporting (6.7), documentation improvement (5.7.2).
- ISO27036 : Supplier documentation (8.2).
A-LIGN Atoro #DORA Kevin Shinners
