Criticality High Active

Compliance Evidence Management

Establishes processes for identifying, collecting, validating, storing, protecting, and maintaining evidence to demonstrate compliance with applicable obligations and support audit and regulatory review.

Control ID
CMP-003
Domain Code
CMP
Control Nature
Detective
Business Owner
Compliance Officer
Category
Administrative
Compensating Control
No

Control Overview

CMP-003 · Full Control Profile
Business Description

Manage and maintain evidence of compliance with statutory, regulatory, and contractual obligations.

Business Objective

To demonstrate compliance to auditors, regulators, and customers.

Business Benefits

    Business Risks if Missing

      Stakeholders, Industries & Technologies

      CMP-003 · Operating Context

      Primary Stakeholders

      Applicable Industries

      Applicable Technologies

      Mapped Regulatory & Industry Frameworks

      Harmonized Framework Mappings

      The following compliance and regulatory frameworks map directly to this control's governance scope.

      FRAMEWORK CODE FRAMEWORK NAME & DESCRIPTION FAMILY / CATEGORY VERSION ACTION
      COBIT2019 COBIT COBIT is an enterprise governance and management f...
      COBIT
      Governance Framework
      		 v2019 View →
      DORA Digital Operational Resilience Act The EU Digital Operational Resilience Act establis...
      EU
      Regulation
      		 vCurrent View →
      GDPR General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin...
      EU
      Regulation
      		 vCurrent View →
      HIPAA Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement...
      US
      Law
      		 vCurrent View →
      IRDAI IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements...
      India
      Guideline
      		 vLatest View →
      ISO22301 ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co...
      ISO
      Standard
      		 v2019 View →
      ISO27001 ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for...
      ISO
      Standard
      		 v2022 View →
      ISO27002 ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a...
      ISO
      Standard
      		 v2022 View →
      NIS2 NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri...
      EU
      Directive
      		 vCurrent View →
      NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev...
      NIST
      Framework
      		 v2 View →
      NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i...
      NIST
      Control Catalog
      		 vRev. 5 View →
      RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set...
      India
      Regulation
      		 vLatest View →
      SEBI-CSCRF SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor...
      India
      Regulation
      		 vLatest View →
      SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting...
      AICPA
      Audit Framework
      		 vLatest View →

      Parent Domain Context

      Governance Domain Baseline
      Domain Name:
      Compliance Management (CMP)
      Purpose:
      To ensure adherence to applicable laws, regulations, and contractual obligations.
      Scope:
      Enterprise
      View

      Compliance Requirements & Audit Crosswalk

      10 Specific Audit Clauses

      The following requirements dictate specific audit evidence criteria and testing steps mapped directly under this control.

      REQUIREMENT ID REQUIREMENT TITLE & DETAILS MAPPED CONTROL TYPICAL OWNER ACTION
      CMP-003-R001 Evidence Management Framework The organization shall establish an evid... CMP-003 Compliance Evidence Management Compliance Management, Control Owners, Records Management View ↗
      CMP-003-R002 Evidence Identification The organization shall identify the evid... CMP-003 Compliance Evidence Management Compliance Management, Control Owners, Records Management View ↗
      CMP-003-R003 Evidence Collection The organization shall collect complianc... CMP-003 Compliance Evidence Management Compliance Management, Control Owners, Records Management View ↗
      CMP-003-R004 Evidence Validation The organization shall validate complian... CMP-003 Compliance Evidence Management Compliance Management, Control Owners, Records Management View ↗
      CMP-003-R005 Evidence Classification The organization shall establish classif... CMP-003 Compliance Evidence Management Compliance Management, Control Owners, Records Management View ↗
      CMP-003-R006 Evidence Repository Management The organization shall establish and mai... CMP-003 Compliance Evidence Management Compliance Management, Control Owners, Records Management View ↗
      CMP-003-R007 Evidence Protection The organization shall protect complianc... CMP-003 Compliance Evidence Management Compliance Management, Control Owners, Records Management View ↗
      CMP-003-R008 Evidence Availability The organization shall ensure compliance... CMP-003 Compliance Evidence Management Compliance Management, Control Owners, Records Management View ↗
      CMP-003-R009 Evidence Review The organization shall conduct periodic... CMP-003 Compliance Evidence Management Compliance Management, Control Owners, Records Management View ↗
      CMP-003-R010 Evidence Lifecycle Management The organization shall maintain lifecycl... CMP-003 Compliance Evidence Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗