Overview
Compliance with an organisation's information security policy, topic-specific policies, rules, and standards is essential for safeguarding information assets. This control ensures that security practices are implemented effectively and regularly reviewed to align with organisational requirements and adapt to evolving risks. The result is a robust framework that preserves confidentiality, integrity, and availability, while meeting legal and compliance obligations.
Purpose
The primary objective of this control is to ensure that the organisation’s information security measures are consistently applied and operationally effective. By doing so, it enhances governance and provides assurance to stakeholders regarding the organisation’s commitment to protecting its information assets.
Guidance
Regular Review
Managers, service owners, product owners, or information owners should oversee compliance by identifying suitable review mechanisms to assess adherence to:
The overarching information security policy
Topic-specific policies and rules
Standards and applicable regulations
Automation in Compliance Monitoring
Organisations should leverage automated measurement and reporting tools to streamline regular reviews. These tools can:
Detect policy violations in real time
Generate compliance reports
Highlight areas that require immediate attention
Handling Non-compliance
When reviews identify non-compliance, the following steps should be undertaken:
Identify Causes: Determine the root causes of the non-compliance, such as gaps in training, outdated policies, or process inefficiencies.
Evaluate Corrective Actions: Assess the measures necessary to address gaps and prevent recurrence.
Implement Corrective Actions: Apply the identified measures, such as updating procedures, enhancing staff awareness, or deploying new tools.
Review Effectiveness: Evaluate the effectiveness of corrective actions and identify any residual weaknesses.
Record-Keeping and Reporting
To ensure accountability and transparency, organisations must:
Document the results of reviews and corrective actions comprehensively
Maintain organised and accessible records
Report findings to independent reviewers (e.g., auditors or governance teams) during independent reviews
Timely Resolution
Corrective actions should be resolved promptly, proportional to the associated risk. If actions remain incomplete by the next scheduled review, progress should be tracked and addressed at that review.
Integration with Operational Monitoring
This control complements operational monitoring covered under controls 8.15, 8.16, and 8.17. Together, they form a cohesive framework enabling:
Proactive risk identification
Responsive actions to mitigate identified risks
Conclusion
Adherence to this control is foundational to the organisation’s broader security strategy. It fosters trust among stakeholders and ensures operations align with regulatory and business requirements. Regular reviews, supported by automation and diligent record-keeping, drive continuous improvement in the organisation’s information security posture.
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