Enabling Processes

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Monitor, Evaluate and Assess 214 : ENABLING PROCESSES MEA03 Process Practices, Inputs/Outputs and Activities Management Practice Inputs Outputs MEA03.01 Identify external compliance requirements. On a continuous basis, identify and monitor for changes in local and international laws, regulations and other external requirements that must be complied with from an IT perspective. From Description Description To Outside COBIT Legal and regulatory compliance requirements Compliance requirements register Log of required compliance actions Activities 1. Assign responsibility for identifying and monitoring any changes of legal, regulatory and other external contractual requirements relevant to the use of IT resources and the processing of information within the business and IT operations of the enterprise. 2. Identify and assess all potential compliance requirements and the impact on IT activities in areas such as data flow, privacy, internal controls, financial reporting, industry-specific regulations, intellectual property, health and safety. 3. Assess the impact of IT-related legal and regulatory requirements on third-party contracts related to IT operations, service providers and business trading partners. 4. Obtain independent counsel, where appropriate, on changes to applicable laws, regulations and standards. 5. Maintain an up-to-date log of all relevant legal, regulatory and contractual requirements, their impact and required actions. 6. Maintain a harmonised and integrated overall register of external compliance requirements for the enterprise. Management Practice Inputs Outputs MEA03.02 Optimise response to From Description Description To external requirements. �� procedures and methodologies to ensure that legal, regulatory and contractual requirements are addressed Updated policies, principles, procedures and standards APO01.07 APO01.08 and communicated. Consider industry standards, Communications of EDM01.01 codes of good practice, and best practice guidance for changed compliance All APO adoption and adaptation. Activities requirements All BAI All DSS All MEA �� and addressing enterprise risk using internal and external experts, as required. 2. Communicate new and changed requirements to all relevant personnel. Management Practice Inputs Outputs MEA03.03 Confirm external compliance. From Description Description To Confirm compliance of policies, principles, standards, procedures and methodologies with legal, regulatory BAI05.06 Compliance audit results Identified compliance gaps MEA02.08 and contractual requirements. BAI09.05 Results of installed licence audits Compliance confirmations EDM01.03 BAI10.05 Licence deviations DSS01.04 Insurance policy reports Activities 1. Regularly evaluate organisational policies, standards, procedures and methodologies in all functions of the enterprise to ensure compliance with relevant legal and regulatory requirements in relation to the processing of information. 2. Address compliance gaps in policies, standards and procedures on a timely basis. 3. Periodically evaluate business and IT processes and activities to ensure adherence to applicable legal, regulatory and contractual requirements. 4. Regularly review for recurring patterns of compliance failures. Where necessary, improve policies, standards, procedures, methodologies, and associated processes and activities. Personal Copy of: Mr. Dong Hong Wang Internal Internal
CHAPTER 5 COBIT 5 PROCESS REFERENCE GUIDE CONTENTS MEA03 Process Practices, Inputs/Outputs and Activities Management Practice Inputs Outputs MEA03.04 Obtain assurance of external compliance. From Description Description To Obtain and report assurance of compliance and adherence with policies, principles, standards, procedures and methodologies. Confirm that corrective actions to address compliance gaps are closed in a EDM05.02 Rules for validating and approving mandatory reports Compliance assurance reports EDM01.03 timely manner. EDM05.03 Assessment of reporting Reports of non-compliance EDM01.03 effectiveness Activities issues and root causes MEA02.07 1. Obtain regular confirmation of compliance with internal policies from business and IT process owners and unit heads. 2. Perform regular (and, where appropriate, independent) internal and external reviews to assess levels of compliance. 3. If required, obtain assertions from third-party IT service providers on levels of their compliance with applicable laws and regulations. 4. If required, obtain assertions from business partners on levels of their compliance with applicable laws and regulations as they relate to intercompany electronic transactions. 5. Monitor and report on non-compliance issues and, where necessary, investigate the root cause. 6. Integrate reporting on legal, regulatory and contractual requirements at an enterprisewide level, involving all business units. MEA03 Related Guidance Related Standard Detailed Reference �� Personal Copy of: Mr. Dong Hong Wang 215 Monitor, Evaluate and Assess
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Enabling Processes Personal Copy of
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ACKNOWLEDGEMENTS ISACA wishes to re
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ACKNOWLEDGEMENTS (CONT.) ACKNOWLEDG
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TABLE OF CONTENTS TABLE OF CONTENTS
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LIST OF FIGURES LIST OF FIGURES Fig
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CHAPTER 1 INTRODUCTION CHAPTER 1 IN
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CHAPTER 2. THE GOALS CASCADE AND ME
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CHAPTER 3 THE COBIT 5 PROCESS MODEL
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Enabler Performance Management CHAP
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CHAPTER 4 THE COBIT 5 PROCESS REFER
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CHAPTER 5 COBIT 5 PROCESS REFERENCE
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Generic Guidance for Processes CHAP
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EDM02 Process Practices, Inputs/Out
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EDM03 Process Practices, Inputs/Out
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APO01 Process Practices, Inputs/Out
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APO13 Manage Security Process Descr
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