Sample Organization Compliance Program

Policy, Procedure, and Audit Status

This site consolidates all documents related to the Sample Organization Compliance Program

Control Tracking

Satisfied Controls


Total Controls


Procedure Tracking

Active Tickets


Oldest Ticket

0 days

Audit Tracking

Open Requests


Total Requests


Narratives provide an overview of the organization and the compliance environment.

Name Acronym TSC Satisfied PDF
Control Environment Narrative CEN CC2.1 CC2.2 CC2.3 CC4.1 CC4.2 CC5.1 CC5.2 CC5.3 Sample-CEN.pdf
Organizational Narrative ON CC1.2 CC1.3 CC1.4 CC1.5 CC3.1 CC3.2 CC3.3 Sample-ON.pdf
Products and Services Narrative PSN Sample-PSN.pdf
Security Architecture Narrative SEN CC6.6 CC6.7 CC7.1 CC7.2 Sample-SEN.pdf
System Architecture Narrative SAN Sample-SAN.pdf

Policies govern the behavior of Sample Organization employees and contractors.

Name Acronym TSC Satisfied PDF
Access Onboarding and Termination Policy AOTP CC6.1 CC6.2 CC6.3 Sample-AOTP.pdf
Application Security Policy ASP CC6.2 Sample-ASP.pdf
Availability Policy AP A1.1 CC9.1 Sample-AP.pdf
System Change Policy SCP CC8.1 CC3.4 Sample-SCP.pdf
Data Classification Policy DCP CC9.9 Sample-DCP.pdf
Code of Conduct Policy COCP CC1.1 Sample-COCP.pdf
Confidentiality Policy CP C1.1 C1.2 Sample-CP.pdf
Business Continuity Policy BCP CC9.1 Sample-BCP.pdf
Cyber Risk Assessment Policy CRP CC9.1 Sample-CRP.pdf
Datacenter Policy DP CC6.4 Sample-DP.pdf
Software Development Lifecycle Policy SDLCP CC8.1 Sample-SDLCP.pdf
Disaster Recovery Policy DRP A1.2 A1.3 Sample-DRP.pdf
Encryption Policy EP CC9.9 Sample-EP.pdf
Security Incident Response Policy SIRP CC7.3 CC7.4 CC7.5 Sample-SIRP.pdf
Information Security Policy ISP CC9.9 Sample-ISP.pdf
Log Management Policy LMP CC7.2 Sample-LMP.pdf
Removable Media and Cloud Storage Policy MCP CC6.7 Sample-MCP.pdf
Office Security Policy OSP CC6.4 Sample-OSP.pdf
Password Policy PWP CC9.9 Sample-PWP.pdf
Policy Training Policy PTP CC9.9 Sample-PTP.pdf
Privacy Management Policy PMP P1.1 P2.1 P3.1 P3.2 P4.1 P4.2 P4.3 P5.1 P5.2 P6.1 P6.2 P6.3 P6.4 P6.5 P6.6 P6.7 P7.1 P8.1 Sample-PMP.pdf
Processing Integrity Policy PIP PI1.1 PI1.2 PI1.3 PI1.4 PI1.5 Sample-PIP.pdf
Remote Access Policy REAP CC6.1 CC6.2 CC6.7 Sample-REAP.pdf
Data Retention Policy RP CC1.2 CC6.5 P4.2 Sample-RP.pdf
Risk Assessment Policy RIAP CC9.1 Sample-RIAP.pdf
Vendor Management Policy VMP CC9.2 Sample-VMP.pdf
Workstation Policy WP CC6.8 Sample-WP.pdf

Procedures prescribe specific steps that are taken in response to key events.

Name ID Schedule (cron format)
Offboard User offboard On demand
Onboard New User onboard On demand
Apply OS patches patch 0 0 0 15 * *
Collect Workstation Details workstation 0 0 0 15 4 *

Standards specify the controls satisfied by the compliance program.

Control Key Name Satisfied? Satisfied By
A1.1 Capacity Planning
The entity maintains, monitors, and evaluates current processing capacity and use of system components (infrastructure, data, and software) to manage capacity demand and to enable the implementation of additional capacity to help meet its objectives
Yes Sample-AP.pdf
A1.2 Backup and Recovery
The entity authorizes, designs, develops or acquires, implements, operates, approves, maintains, and monitors environmental protections, software, data back-up processes, and recovery infrastructure to meet its objectives
Yes Sample-DRP.pdf
A1.3 Recovery Testing
The entity tests recovery plan procedures supporting system recovery to meet its objectives
Yes Sample-DRP.pdf
C1.1 Confidential Information Identification
The entity identifies and maintains confidential information to meet the entity’s objectives related to confidentiality
Yes Sample-CP.pdf
C1.2 Confidential Information Disposal
The entity disposes of confidential information to meet the entity’s objectives related to confidentiality.
Yes Sample-CP.pdf
CC1.1 Integrity and Ethics
The entity demonstrates a commitment to integrity and ethical values
Yes Sample-COCP.pdf
CC1.2 Board Independence
The board of directors demonstrates independence from management and exercises oversight of the development and performance of internal control
Yes Sample-ON.pdf Sample-RP.pdf
CC1.3 Organizational Structure
Management establishes, with board oversight, structures, reporting lines, and appropriate authorities and responsibilities in the pursuit of objectives
Yes Sample-ON.pdf
CC1.4 Hiring, Training and Retention
The entity demonstrates a commitment to attract, develop, and retain competent individuals in alignment with objectives
Yes Sample-ON.pdf
CC1.5 Individual Accountability
The entity holds individuals accountable for their internal control responsibilities in the pursuit of objectives.
Yes Sample-ON.pdf
CC2.1 Use of Information Systems
The entity obtains or generates and uses relevant, quality information to support the functioning of internal control
Yes Sample-CEN.pdf
CC2.2 Use of Communication Systems, Internal
The entity internally communicates information, including objectives and responsibilities for internal control, necessary to support the functioning of internal control
Yes Sample-CEN.pdf
CC2.3 Use of Communication Systems, External
The entity communicates with external parties regarding matters affecting the functioning of internal control
Yes Sample-CEN.pdf
CC3.1 Objectives
The entity specifies objectives with sufficient clarity to enable the identification and assessment of risks relating to objectives
Yes Sample-ON.pdf
CC3.2 Risk to Objectives
The entity identifies risks to the achievement of its objectives across the entity and analyzes risks as a basis for determining how the risks should be managed
Yes Sample-ON.pdf
CC3.3 Fraud Risk to Objectives
The entity considers the potential for fraud in assessing risks to the achievement of objectives
Yes Sample-ON.pdf
CC3.4 Impact of Changes
The entity identifies and assesses changes that could significantly impact the system of internal control
Yes Sample-SCP.pdf
CC4.1 Monitoring
The entity selects, develops, and performs ongoing and/or separate evaluations to ascertain whether the components of internal control are present and functioning
Yes Sample-CEN.pdf
CC4.2 Remediation
The entity evaluates and communicates internal control deficiencies in a timely manner to those parties responsible for taking corrective action, including senior management and the board of directors, as appropriate
Yes Sample-CEN.pdf
CC5.1 Objective Risk Mitigation
The entity selects and develops control activities that contribute to the mitigation of risks to the achievement of objectives to acceptable levels
Yes Sample-CEN.pdf
CC5.2 Technology Controls
The entity also selects and develops general control activities over technology to support the achievement of objectives
Yes Sample-CEN.pdf
CC5.3 Established Policies
The entity deploys control activities through policies that establish what is expected and in procedures that put policies into action
Yes Sample-CEN.pdf
CC6.1 Logical Access
The entity implements logical access security software, infrastructure, and architectures over protected information assets to protect them from security events to meet the entity’s objectives
Yes Sample-AOTP.pdf Sample-REAP.pdf
CC6.2 User Access
Prior to issuing system credentials and granting system access, the entity registers and authorizes new internal and external users whose access is administered by the entity. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized
Yes Sample-AOTP.pdf Sample-ASP.pdf Sample-REAP.pdf
CC6.3 Role-Based Access
The entity authorizes, modifies, or removes access to data, software, functions, and other protected information assets based on roles, responsibilities, or the system design and changes, giving consideration to the concepts of least privilege and segregation of duties, to meet the entity’s objectives
Yes Sample-AOTP.pdf
CC6.4 Physical Access
The entity restricts physical access to facilities and protected information assets (for example, data center facilities, back-up media storage, and other sensitive locations) to authorized personnel to meet the entity’s objectives
Yes Sample-DP.pdf Sample-OSP.pdf
CC6.5 Data Disposal
The entity discontinues logical and physical protections over physical assets only after the ability to read or recover data and software from those assets has been diminished and is no longer required to meet the entity’s objectives
Yes Sample-RP.pdf
CC6.6 External Threats
The entity implements logical access security measures to protect against threats from sources outside its system boundaries
Yes Sample-SEN.pdf
CC6.7 Data Custody and Transmission
The entity restricts the transmission, movement, and removal of information to authorized internal and external users and processes, and protects it during transmission, movement, or removal to meet the entity’s objectives
Yes Sample-SEN.pdf Sample-MCP.pdf Sample-REAP.pdf
CC6.8 Malware Detection
The entity implements controls to prevent or detect and act upon the introduction of unauthorized or malicious software to meet the entity’s objectives
Yes Sample-WP.pdf
CC7.1 Vulnerability Detection
To meet its objectives, the entity uses detection and monitoring procedures to identify (1) changes to configurations that result in the introduction of new vulnerabilities, and (2) susceptibilities to newly discovered vulnerabilities
Yes Sample-SEN.pdf
CC7.2 Anomaly Detection
The entity monitors system components and the operation of those components for anomalies that are indicative of malicious acts, natural disasters, and errors affecting the entity’s ability to meet its objectives; anomalies are analyzed to determine whether they represent security events
Yes Sample-SEN.pdf Sample-LMP.pdf
CC7.3 Security Incident Evaluation
The entity evaluates security events to determine whether they could or have resulted in a failure of the entity to meet its objectives (security incidents) and, if so, takes actions to prevent or address such failures
Yes Sample-SIRP.pdf
CC7.4 Security Incident Response Plan
The entity responds to identified security incidents by executing a defined incident response program to understand, contain, remediate, and communicate security incidents, as appropriate
Yes Sample-SIRP.pdf
CC7.5 Security Incident Response Execution
The entity identifies, develops, and implements activities to recover from identified security incidents
Yes Sample-SIRP.pdf
CC8.1 Change Control
The entity authorizes, designs, develops or acquires, configures, documents, tests, approves, and implements changes to infrastructure, data, software, and procedures to meet its objectives
Yes Sample-SCP.pdf Sample-SDLCP.pdf
CC9.1 Disruption Risk Mitigation
The entity identifies, selects, and develops risk mitigation activities for risks arising from potential business disruptions
Yes Sample-AP.pdf Sample-BCP.pdf Sample-CRP.pdf Sample-RIAP.pdf
CC9.2 Vendor Risk Management
The entity assesses and manages risks associated with vendors and business partners
Yes Sample-VMP.pdf