ME3.4:

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ME 3.4 Positive Assurance of Compliance

Control Objective:

Define and implement procedures to obtain and report positive assurance of compliance and, where necessary, that corrective actions have been taken by the responsible process owner on a timely basis to address any compliance gaps. Integrate IT reporting on compliance progress and status with similar output from other business functions.


Applicability:

Sarbanes-Oxley
HIPAA
GLBA
PCI
FISMA
NIST SP 800-66
Ditscap
Control Exception
User Defined


Risk Association Control Activities:

1. Risk: Security incidents and incompliance with information security procedures may go overlooked and not addressed.
a. SOX.3.1.1: Management should monitor security incidents and the extent of compliance with information security procedures.


Implementation Guide:

Process Narrative
Insert a description of the process narration that is applicable to the existing control statement this narrative refers to.

Process Illustration
Insert a process diagram, flowchart or other visual representation here to illustrate the process narrative.

File:Someimage.jpg

Control Commentary
Insert a description of the control that is applicable to the existing control statement this commentary refers to.

Control Exception Commentary
Insert a description of the control exception that is applicable to the existing control statement this commentary refers to.

Evidence Archive Location
Insert Evidence Description Here.

Control Status and Auditors Commentary
Describe the condition of the applicable control and its effectiveness. Set the color icon to a redlock.jpg, yellowlock.jpg or greenlock.jpg.

File:Redlock.jpg

Remediation Plan
Insert remediation plan, applicability, or any information that indicates what needs to be done.

Supplemental Information:


Implementation guidance
Insert guidance in this section if it helps to elaborate upon the subject matter. Examples of evidence that would help guide the end user is desirable.