Evidence Lifecycle Management (CMP-003-R010) - CMP-003

Requirement Details & Guidance

CMP-003-R010 · CMP-003

Why This Requirement Exists

This requirement exists to detect instances where legal, regulatory, or contractual requirements are not met and to support consistent, auditable compliance management.

Implementation Guidance

Define the required non-compliance 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 financial institution records a regulatory control failure, performs root-cause analysis, assigns corrective actions, and verifies remediation before formally closing the issue.

Practical Application & Audit Readiness

CMP-003-R010 · Field Guidance

Business Examples

Common Audit Findings

Common Mistakes

Best Practices & Ownership

CMP-003 · 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 > MEA03.01 – 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	EU Regulation	vCurrent	View →
HIPAA	Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement... Clause: § 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	India Guideline	vLatest	View →
ISO22301	ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 7.5.3 – Control of documented information	ISO Standard	v2019	View →
ISO27001	ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for... Clause: 7.5.3 – Control of documented information	ISO Standard	v2022	View →
ISO27002	ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 5.28 – Collection of evidence; 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 GV.PO – Policy \| GV.PO-01 – Policy for managing cybersecurity risks is established based on organizational context, cybersecurity strategy, and priorities and is communicated and enforced	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, 3.3 – AUDIT AND ACCOUNTABILITY; CA-2 – CONTROL ASSESSMENTS, AU-9 – PROTECTION OF AUDIT INFORMATION	NIST Control Catalog	vRev. 5	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; 1.4 GV.OV: Oversight	India Regulation	vLatest	View →
SOC2	SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC2.1 – Information and Communication – COSO Principle 13: The entity obtains or generates and uses relevant, quality information to support the functioning of internal control. CC4.2 – Monitoring of Controls – COSO Principle 17: The entity evaluates and communicates internal control deficiencies in a timely manner to those parties responsible for taking corrective action, including senior management and the board of directors, as appropriate.	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:

Compliance Evidence Management (CMP-003)

Summary:

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

Business Description:

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

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