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Compliance Officers

Introduction

Compliance Officers ensure that the organization adheres to legal standards and internal policies. Their responsibilities include creating compliance frameworks, auditing processes, and ensuring that all activities comply with relevant regulations. This document outlines the key activities and best practices for Compliance Officers to ensure thorough and efficient compliance processes.

Capturing Compliance Evidence with surveilr

Resource surveillance (surveilr) provides the file ingestion command for compliance officers to execute. This command captures compliance evidence from Work Product Artifacts (WPAs) and store them in a Resource Surveillance State Database (RSSD) named resource-surveillance.sqlite.db, under the uniform_resource table.

Evidence Types

  • Compliance Evidence: This table shows compliance with policies
  • Non-Compliance Evidence: This table shows non-compliance with policies.

Common commands

  • To ingest files in the current directory:

    Terminal window
    $ surveilr ingest files

  • To run queries in RSSDs:

    sqlite3 resource-surveillance.sqlite.db "SELECT * FROM..."

Examples of Work Product Artifacts (WPAs)

Creating a Compliance Framework

A company’s policy might state: “All compliance officers must create a comprehensive compliance framework for the organization.” This policy can be broken down into the following requirements:

  • Define the compliance objectives, scope, resources, and timelines.
  • Ensure the framework is documented and accessible to all stakeholders.

Using surveilr for Policy Compliance and Evidence Capture

The next step is to use surveilr to ensure compliance with these policies, capturing the necessary details and storing them under the database table.

SQL Query for Verification of Compliance Framework

SELECT
    d.state_sysinfo -> 'host_name' AS 'Host Name',
    cf.content -> 'compliance_framework' AS 'Compliance Framework'
FROM
    compliance_framework cf
JOIN
    device d ON cf.device_id = d.device_id;

Compliance Evidence

Host NameCompliance Framework
HostName_1Detailed Framework 1
HostName_2Detailed Framework 2

Non-compliance Evidence

Host NameCompliance Framework
HostName_1Missing Framework
HostName_2Incomplete Framework

Conducting Audits

A company’s policy might state: “All compliance officers must regularly conduct audits to ensure compliance with policies.” This policy can be broken down into the following requirements:

  • Schedule and conduct regular audits.
  • Document the audit findings and corrective actions.

Using surveilr for Policy Compliance and Evidence Capture

The next step is to use surveilr to ensure compliance with these policies, capturing the necessary details and storing them under the database table.

SQL Query for Verification of Audits

SELECT ur.content -> 'name' AS 'Audit Name',
       ur.content -> 'audit_results' AS 'Audit Results'
FROM uniform_resource ur
JOIN device d ON ur.device_id = d.device_id
WHERE ur.uri LIKE '%audit_results.json';

Compliance Evidence

Host NameAudit NameAudit Results
HostName_1audit-1Passed
HostName_2audit-2Passed

Non-compliance Evidence

Host NameAudit NameAudit Results
HostName_1audit-1Failed
HostName_2audit-2Not Conducted

Monitoring Regulatory Changes

A company’s policy might state: “All compliance officers must monitor and implement changes in regulations.” This policy can be broken down into the following requirements:

  • Regularly monitor regulatory updates.
  • Update the compliance framework and policies accordingly.

Using surveilr for Policy Compliance and Evidence Capture

The next step is to use surveilr to ensure compliance with these policies, capturing the necessary details and storing them under the database table.

SQL Query for Verification of Regulatory Monitoring

SELECT
    ur.content -> 'name' AS 'Regulation Name',
    ur.content -> 'update_details' AS 'Update Details'
FROM
    uniform_resource ur
JOIN
    device d ON ur.device_id = d.device_id
WHERE
    ur.uri LIKE '%regulatory_updates.json';

Compliance Evidence

Host NameRegulation NameUpdate Details
HostName_1regulation-1Updated
HostName_2regulation-2Updated

Non-compliance Evidence

Host NameRegulation NameUpdate Details
HostName_1regulation-1Not Updated
HostName_2regulation-2Not Updated

Training Employees

A company’s policy might state: “All compliance officers must train employees on compliance policies.” This policy can be broken down into the following requirements:

  • Develop and conduct training sessions.
  • Ensure employees understand and adhere to compliance policies.

Using surveilr for Policy Compliance and Evidence Capture

The next step is to use surveilr to ensure compliance with these policies, capturing the necessary details and storing them under the database table.

SQL Query for Verification of Training Sessions

SELECT
    ur.content -> 'name' AS 'Training Name',
    ur.content -> 'attendance' AS 'Attendance'
FROM
    uniform_resource ur
JOIN
    device d ON ur.device_id = d.device_id
WHERE
    ur.uri LIKE '%training_sessions.json';

Compliance Evidence

Host NameTraining NameAttendance
HostName_1training-1Complete
HostName_2training-2Complete

Non-compliance Evidence

Host NameTraining NameAttendance
HostName_1training-1Incomplete
HostName_2training-2Not Conducted

Reporting and Documentation

A company’s policy might state: “All compliance officers must maintain thorough documentation and reporting of compliance activities.” This policy can be broken down into the following requirements:

  • Document all compliance activities and findings.
  • Ensure regular reporting to senior management and stakeholders.

Using surveilr for Policy Compliance and Evidence Capture

The next step is to use surveilr to ensure compliance with these policies, capturing the necessary details and storing them under the database table.

SQL Query for Verification of Compliance Documentation

SELECT ur.content -> 'name' AS 'Document Name',
       ur.content -> 'details' AS 'Details'
FROM uniform_resource ur
JOIN device d ON ur.device_id = d.device_id
WHERE ur.uri LIKE '%compliance_docs.json';

Compliance Evidence

Host NameDocument NameDetails
HostName_1compliance-doc-1Complete
HostName_2compliance-doc-2Complete

Non-compliance Evidence

Host NameDocument NameDetails
HostName_1compliance-doc-1Incomplete
HostName_2compliance-doc-2Not Documented

Managing Compliance Risks

A company’s policy might state: “All compliance officers must manage and mitigate compliance risks.” This policy can be broken down into the following requirements:

  • Identify and assess compliance risks.
  • Implement measures to mitigate identified risks.

Using surveilr for Policy Compliance and Evidence Capture

The next step is to use surveilr to ensure compliance with these policies, capturing the necessary details and storing them under the database table.

SQL Query for Verification of Risk Management

SELECT
    ur.content -> 'name' AS 'Risk Name',
    ur.content -> 'mitigation_plan' AS 'Mitigation Plan'
FROM
    uniform_resource ur
JOIN
    device d ON ur.device_id = d.device_id
WHERE
    ur.uri LIKE '%risk_management.json';

Compliance Evidence

Host NameRisk NameMitigation Plan
HostName_1risk-1Detailed Plan 1
HostName_2risk-2Detailed Plan 2

Non-compliance Evidence

Host NameRisk NameMitigation Plan
HostName_1risk-1Missing Plan
HostName_2risk-2Incomplete Plan