Compliance Management
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Overview
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 ITIL Compliance Management 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.
