Compliance Management

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Objective: ITIL Compliance Management aims to ensure IT services, processes and systems comply with enterprise policies and legal requirements.

Part of: Service Design

Process Owner: Compliance Manager

 

Process Description

Compliance issues are addressed within several processes in ITIL; there is, however, no dedicated Compliance Management process.

Compliance is an increasingly important topic for IT organizations, so at IT Process Maps we decided to assign clear responsibilities for ensuring compliance, which meant introducing a specific Compliance Management process as part of the ITIL® Process Map.

ITIL does not provide a detailed explanation of all aspects of Compliance Management. Rather, it highlights the most important activities and assists in identifying interfaces with other Service Management processes.

Following the introduction of Design Coordination in ITIL 2011 the information flows have been adapted slightly. The process overview of ITIL Compliance Management (.JPG) is showing the most important interfaces (see Figure 1).

 

Sub-Processes

No sub-processes are specified for ITIL Compliance Management.

 

Definitions

The following ITIL terms and acronyms (information objects) are used in the ITIL Compliance Management process to represent process outputs and inputs:

 

Compliance Register

  • The Compliance Register is a tool used by the Compliance Management process to keep an overview of all compliance requirements and the measures applied to ensure their enforcement.


Compliance Review

  • The Compliance Review documents the results of regular process and system compliance assessments. In particular, it contains any identified deviations from compliance requirements, as well as measures to correct the situation.


Enterprise Policies and Regulations

  • A set of binding enterprise policies and regulations which are an important input for the Compliance Management process.

 

Roles | Responsibilities

Compliance Manager - Process Owner

  • The Compliance Manager's responsibility is to ensure that standards and guidelines is followed, or that proper, consistent accounting or other practices are being employed.
  • This includes to make sure that external legal requirements are fulfilled.

 

Responsibility Matrix: ITIL Compliance Management
ITIL Role / Sub-Process Compliance Manager
Compliance Management
(no sub-processes specified)
A[1]R[2]

 

Remarks

[1] A: Accountable according to the RACI Model: Those who are ultimately accountable for the correct and thorough completion of the ITIL Compliance Management process.

[2] R: Responsible according to the RACI Model: Those who do the work to achieve a task within ITIL Compliance Management.

 

 

[ Infobox ]

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Image: ITIL Compliance Management (.JPG)
Author: , IT Process Maps