CASP+ (CAS-004) Domain 4: Governance, Risk, and Compliance

Governance Models

Understand frameworks like COBIT, ITIL, ISO 27001, and NIST RMF. These models provide structured approaches to align IT and security practices with organizational goals.

Learn more about COBIT at the ISACA COBIT Framework.

Risk Management

Identify, assess, prioritize, and mitigate risks across enterprise environments. Use techniques like qualitative and quantitative risk assessments to evaluate potential threats.

Learn more about risk management at the NIST Risk Management Framework.

Compliance Requirements

Meet regulatory obligations such as GDPR, HIPAA, PCI DSS, and SOX. Understand how to align organizational practices with legal and compliance standards.

Learn more about GDPR at the GDPR Official Website.

Audit Strategies

Prepare for internal and external audits by ensuring evidence collection, documentation, and control testing. Address findings to improve compliance and security posture.

Learn more about audit preparation at the ISACA Audit Resources.

Business Continuity

Design resilience strategies including Business Continuity Planning (BCP), Disaster Recovery Planning (DRP), and defining Recovery Time Objectives (RTO) and Recovery Point Objectives (RPO).

Learn more about business continuity at the ISO 22301 Business Continuity Standard.

Governance Frameworks

Governance frameworks provide structured approaches to align IT and security practices with organizational goals. They help establish policies, procedures, and controls to ensure accountability and compliance.

• COBIT: Focuses on aligning IT with business objectives and managing risks effectively.

  Learn more about COBIT at the ISACA COBIT Framework.

• ISO 27001: An international standard for information security management systems (ISMS) that ensures confidentiality, integrity, and availability of data.

  Learn more about ISO 27001 at the ISO Official Website.

• NIST 800-53: Provides a catalog of security and privacy controls to protect federal information systems and organizations.

  Learn more about NIST 800-53 at the NIST Official Website.

Risk Management Process

Risk management is a systematic approach to identifying, analyzing, responding to, and monitoring risks to minimize their impact on organizational objectives. It ensures that organizations can proactively address potential threats and vulnerabilities while maintaining business continuity.

• Risk Identification: The process of identifying potential risks that could affect the organization. This includes internal risks (e.g., outdated systems) and external risks (e.g., cyberattacks, natural disasters).

  Learn more about risk identification at the NIST Cybersecurity Framework.

• Qualitative Risk Assessment: Uses subjective measurements based on likelihood and impact ratings to prioritize risks. This method is useful for quickly assessing risks without requiring extensive data.

  Learn more about qualitative risk assessment at the ISACA Risk Management Resources.

• Quantitative Risk Assessment: Uses numerical measurements, such as asset values, exposure factors, and probabilities, to calculate potential losses. This method provides a more precise understanding of risk impact.

  Learn more about quantitative risk assessment at the NIST SP 800-30 Guide to Risk Assessment.

• Risk Response: Develop strategies to address identified risks. Common responses include risk avoidance, mitigation, transfer (e.g., insurance), and acceptance.

  Learn more about risk response strategies at the PMI Risk Response Strategies.

• Risk Monitoring: Continuously monitor risks and the effectiveness of mitigation strategies. This ensures that new risks are identified and addressed promptly.

  Learn more about risk monitoring at the ISO 31000 Risk Management Standard.

Learn more about the overall risk management process at the NIST Risk Management Framework.

Compliance and Legal Issues

Compliance ensures that organizations adhere to legal, regulatory, and contractual obligations. Key regulations include:

• GDPR: Governs data protection and privacy in the European Union.

  Learn more about GDPR at the GDPR Official Website.

• HIPAA: Protects sensitive patient health information in the United States.

  Learn more about HIPAA at the U.S. Department of Health & Human Services.

• PCI DSS: Ensures secure handling of credit card information.

  Learn more about PCI DSS at the PCI Security Standards Council.

Audit Preparation and Strategies

Security audits evaluate the effectiveness of controls and ensure compliance with policies and regulations. Preparation involves:

• Collecting evidence and documentation.
• Testing controls to identify gaps.
• Remediating findings to improve compliance.

Learn more about audit preparation at the ISACA Audit Resources.