Control Compliance Assessment (CMP-002-R003) - CMP-002

Requirement Details & Guidance

CMP-002-R003 · CMP-002

Why This Requirement Exists

This requirement exists to identify missing or ineffective controls and other weaknesses using multiple information sources and to support consistent, auditable compliance management.

Implementation Guidance

Define the required compliance gap identification 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 healthcare organization uses scheduled compliance assessments and dashboards to monitor control coverage, gaps, exceptions, and remediation across regulated processes.

Practical Application & Audit Readiness

CMP-002-R003 · Field Guidance

Business Examples

Common Audit Findings

Common Mistakes

Best Practices & Ownership

CMP-002 · 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 > MEA03.03 – Confirm external compliance. 4.5 – Monitor, Evaluate and Assess (MEA) > MEA03 – Managed Compliance with External Requirements > MEA03.04 – Obtain assurance of external compliance.	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 6(6) – Regular internal audit of ICT risk management framework	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; Article 32(1)(d) – Testing, assessing and evaluating security measures	EU Regulation	vCurrent	View →
HIPAA	Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement... Clause: § 164.308(a)(14) Standard: Compliance audit; § 164.316(a)(2) Actions, activities and assessments documentation	US Law	vCurrent	View →
IRDAI	IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §1.10 – Compliance; §1.6-11 – Internal Audit; §2.16-3.6 – Information Security assessment	India Guideline	vLatest	View →
ISO22301	ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 9.1 – Monitoring, measurement, analysis and evaluation	ISO Standard	v2019	View →
ISO27001	ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for... Clause: 9.1 – Monitoring, measurement, analysis and evaluation	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 →
NIS2	NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(2)(f) – Policies and procedures to assess the effectiveness of cybersecurity risk-management measures	EU Directive	vCurrent	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: 3.4 – ASSESSMENT, AUTHORIZATION, AND MONITORING; CA-2 – CONTROL ASSESSMENTS, CA-7 – CONTINUOUS MONITORING	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; Policy, Roles and Risk Linkages – IT Assessment Reports	India Standard	vLatest	View →
RBI-CSF	RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: Circular §13 – Cyber security preparedness indicators; Circular §16 – Immediate assessment of gaps in preparedness	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: CC4.1 – Monitoring of Controls – COSO Principle 16: The entity selects, develops, and performs ongoing and/or separate evaluations to ascertain whether the components of internal control are present and functioning.	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

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Parent Control Context

Control Baseline

Control Name:

Control Compliance Monitoring (CMP-002)

Summary:

Establishes continuous monitoring of security control compliance against applicable obligations, identifying gaps, assessing compliance status, and enabling timely remediation.

Business Description:

Continuously monitor and assess the compliance of security controls with applicable obligations.

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