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Compliance Program Framework

The organization shall establish a compliance program framework that defines the structures, processes, and practices for identifying, assessing, monitoring, reporting, and governing compliance with applicable legal, regulatory, and contractual requirements. The framework shall provide the foundation for all compliance management activities.

Requirement ID
CMP-001-R001
Parent Control
CMP-001
Domain Code
CMP

Requirement Details & Guidance

CMP-001-R001 · CMP-001
Why This Requirement Exists

This requirement exists to provide oversight, direction, authority, and accountability for compliance decisions and to support consistent, auditable compliance management.

Implementation Guidance

Define the required compliance governance process, accountable roles, inputs, outputs, approval points, evidence requirements, review frequency, and escalation criteria. Integrate the activity with the organization's compliance records and related risk, policy, control, and assessment processes. A regulated financial institution establishes a centralized compliance program covering legal, regulatory, and contractual obligations across business units.

Practical Application & Audit Readiness

CMP-001-R001 · Field Guidance

Business Examples

    Common Audit Findings

      Common Mistakes

        Best Practices & Ownership

        CMP-001 · Recommended Approach

        Recommended Practices

          Typical Owner

          Cross-Mapped Regulatory Frameworks

          Harmonized Control Mappings
          FRAMEWORK CODE FRAMEWORK NAME & DETAILS FAMILY / CATEGORY VERSION ACTION
          COBIT2019 COBIT COBIT is an enterprise governance and management f... Clause: 4.5 – Monitor, Evaluate and Assess (MEA) > MEA03 – Managed Compliance with External Requirements > MEA03.01 – Identify external compliance requirements.
          COBIT
          Governance Framework
          		 v2019 View →
          DORA Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 6(3) – Minimising ICT risk and providing ICT risk/framework information to competent authorities Article 5 – Governance and organisation
          EU
          Regulation
          		 vCurrent View →
          GDPR General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin... Clause: Article 5(2) – Accountability; Article 24(1) – Responsibility of the controller
          EU
          Regulation
          		 vCurrent View →
          IRDAI IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §1.10 – Compliance
          India
          Guideline
          		 vLatest View →
          ISO22301 ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 4.2.2 – Legal and regulatory requirements
          ISO
          Standard
          		 v2019 View →
          ISO27001 ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for... Clause: 4.2 – Understanding the needs and expectations of interested parties
          ISO
          Standard
          		 v2022 View →
          ISO27002 ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 5.31 – Legal, statutory, regulatory and contractual requirements; 5.36 – Compliance with policies, rules and standards for information security
          ISO
          Standard
          		 v2022 View →
          NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: GV.OC – Organizational Context | GV.OC-03 – Legal, regulatory, and contractual requirements regarding cybersecurity — including privacy and civil liberties obligations — are understood and managed
          NIST
          Framework
          		 v2 View →
          NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.13 – PROGRAM MANAGEMENT, 3.12 – PLANNING; PM-1 – INFORMATION SECURITY PROGRAM PLAN, PL-1 – POLICY AND PROCEDURES
          NIST
          Control Catalog
          		 vRev. 5 View →
          NPCI-ISR NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Governance Controls; Policy, Roles and Risk Linkages – Monitor policy compliance and exceptions
          India
          Standard
          		 vLatest View →
          RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: Circular §5 – Identification/assessment of inherent cyber risks and controls
          India
          Regulation
          		 vLatest View →
          SEBI-CSCRF SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor... Clause: 1.1 GV.OC: Organizational Context
          India
          Regulation
          		 vLatest View →
          SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC3.2 – Risk Assessment – COSO Principle 7: The entity identifies risks to the achievement of its objectives across the entity and analyzes risks as a basis for determining how the risks should be managed. CC5.3 – Control Activities – COSO Principle 12: The entity deploys control activities through policies that establish what is expected and in procedures that put policies into action.
          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

          Parent Control Context

          Control Baseline
          Control Name:
          Compliance Program Management (CMP-001)
          Summary:
          Establishes a comprehensive compliance program with governance, processes, and resources to identify, manage, monitor, and demonstrate adherence to all applicable statutory, regulatory, and contractual obligations.
          Business Description:
          Establish and maintain a program to identify, manage, and monitor adherence to all applicable laws, regulations, and contractual obligations.
          View