Compliance Framework

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.
  • ...
  • 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.
  • ...
  • 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.
  • ...
  • 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.
  • ...
• 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:
    • PCI DSS Compliance Framework for payment card industry.
    • HIPAA Compliance Framework for healthcare organizations.
    • SOX Compliance Framework for public company financial reporting.
  • Regional Compliance Frameworks, such as:
    • GDPR Compliance Framework for European data protection.
    • CCPA Compliance Framework for California consumer privacy.
  • ...
• 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.

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