Control Assurance & Validation (AUD-004) - Universal Control Library

Criticality Critical Active

Control ID

AUD-004

Domain Code

AUD

Control Nature

Detective

Business Owner

Information Assurance Team / CISO

Control Overview

AUD-004 · Full Control Profile

Business Description

Establish and maintain processes for validating, testing, monitoring, and continuously assessing the design, implementation, operating effectiveness, and maturity of organizational controls.

Business Objective

Ensure security, privacy, and compliance controls remain effective, measurable, and continuously monitored throughout their lifecycle.

Business Benefits

Business Risks if Missing

Stakeholders, Industries & Technologies

AUD-004 · 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
CIS-V8	CIS Controls CIS Controls are a prioritized set of cybersecurit...	CIS Best Practice	vv8	View →
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 →
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 →
NPCI-ISR	NPCI Information Security Requirements NPCI information-security requirements define cont...	India Standard	vLatest	View →
PCI-DSS	PCI DSS PCI DSS is an industry security standard maintaine...	PCI Standard	v4	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 →
ISO27002	ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a...	ISO Standard	v2022	View →
ISO27001	ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for...	ISO Standard	v2022	View →

Parent Domain Context

Governance Domain Baseline

Domain Name:

Audit & Assurance (AUD)

Purpose:

To provide confidence that security controls are effective and operating as intended.

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
AUD-004-R001	Control Testing Framework The organization shall establish a contr...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗
AUD-004-R002	Design Effectiveness Review The organization shall review the design...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗
AUD-004-R003	Operating Effectiveness Testing The organization shall test the operatin...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗
AUD-004-R004	Continuous Assurance The organization shall establish continu...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗
AUD-004-R005	Control Performance Monitoring The organization shall monitor control p...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗
AUD-004-R006	Validation Reporting The organization shall report on control...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗
AUD-004-R007	Exception Management The organization shall manage exceptions...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗
AUD-004-R008	Assurance Review The organization shall conduct periodic...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗
AUD-004-R009	Metrics Reporting The organization shall report on control...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗
AUD-004-R010	Continuous Improvement The organization shall establish a conti...	AUD-004 Control Assurance & Validation	CISO / Internal Audit / Control Owners	View ↗