Information Assurance Compliance (2020)

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The intent of the IA Compliance Knowledge Unit is to provide students with an understanding of the rules, regulations and issues related to compliance with applicable laws and regulations.


To complete this KU, students should be able to:

  1. Compare and contrast voluntary and mandatory compliance requirements.
  2. Plan and conduct audits to determine compliance with policies, laws, regulations, and other standards.


  1. Compliance Requirements
    • Baseline
  2. Compliance Monitoring and Tracking
  3. Compliance Reporting
    1. Compliance levels
  4. Compliance Training
  5. Relationship between compliance and audit
  6. Audit Types
    1. Internal
    2. External
  7. Audit Purposes
    1. Compliance to specified requirements, specifications, policy, standards or laws
    2. Regulatory compliance
    3. Assessment of internal controls
  8. Audit process
    1. Audit Charter
    2. Audit Baseline
    3. Audit Activities
    4. Audit Reporting,
      1. Results(Findings)
      2. Recommendations
    5. Response
      1. Mitigation Strategy


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