Compliance Framework
(Redirected from Regulatory Compliance Framework)
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A Compliance Framework is a governance framework that establishes compliance requirements, compliance controls, and compliance processes that can support regulatory compliance tasks.
- AKA: Regulatory Compliance Framework, Compliance Management Framework, Compliance Program Framework.
- Context:
- It can typically define Compliance Standards based on regulatory requirements and industry best practices.
- It can typically establish Compliance Controls including preventive controls, detective controls, and corrective controls.
- It can typically specify Compliance Assessment Methods through audit procedures and verification processes.
- It can typically mandate Compliance Documentation including policy documents, procedure manuals, and evidence artifacts.
- It can typically require Compliance Monitoring via continuous monitoring systems and periodic reviews.
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- It can often enable Risk Assessment through compliance risk matrices.
- It can often support Third-Party Management via vendor compliance requirements.
- It can often facilitate Compliance Reporting through automated report generation.
- It can often provide Compliance Training using awareness programs and certification paths.
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- It can range from being a Basic Compliance Framework to being a Comprehensive Compliance Framework, depending on its compliance scope.
- It can range from being a Single-Regulation Compliance Framework to being a Multi-Regulation Compliance Framework, depending on its regulatory coverage.
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- It can enable SOC 2 Type II Compliance Frameworks as attestation-based compliance.
- It can support AI System Security Compliance Standards through AI-specific compliance controls.
- It can integrate with Compliance Verification Processes for compliance validation.
- It can inform Business Rules through compliance-driven constraints.
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- Example(s):
- International Compliance Frameworks, such as:
- ISO Compliance Framework providing international standard compliance.
- COSO Framework establishing internal control frameworks.
- COBIT Framework aligning IT governance with business objectives.
- Industry Compliance Frameworks, such as:
- Regional Compliance Frameworks, such as:
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- International Compliance Frameworks, such as:
- Counter-Example(s):
- Best Practice Guide, which provides recommendations without mandatory requirements.
- Quality Framework, which focuses on quality improvement rather than regulatory compliance.
- Performance Framework, which measures operational metrics without compliance obligations.
- See: SOC 2 Type II Compliance Framework, Clinical Trial Regulatory Compliance, Compliance Verification Process, Regulatory Compliance, Governance Framework, Risk Management Framework, Audit Framework.