Criticality High Active

Non-Compliance Management

Establishes processes to identify, document, classify, analyze, prioritize, remediate, report, and close instances of non-compliance with applicable obligations.

Control ID
CMP-004
Domain Code
CMP
Control Nature
Detective
Business Owner
Compliance Officer
Category
Administrative
Compensating Control
No

Control Overview

CMP-004 · Full Control Profile
Business Description

Document, track, and remediate instances of non-compliance with statutory, regulatory, or contractual obligations.

Business Objective

To ensure identified compliance gaps are addressed in a timely manner.

Business Benefits

    Business Risks if Missing

      Stakeholders, Industries & Technologies

      CMP-004 · Operating Context

      Primary Stakeholders

      Applicable Industries

      Applicable Technologies

      Mapped Regulatory & Industry Frameworks

      Harmonized Framework Mappings

      The following compliance and regulatory frameworks map directly to this control's governance scope.

      FRAMEWORK CODE FRAMEWORK NAME & DESCRIPTION FAMILY / CATEGORY VERSION ACTION
      COBIT2019 COBIT COBIT is an enterprise governance and management f...
      COBIT
      Governance Framework
      		 v2019 View →
      DORA Digital Operational Resilience Act The EU Digital Operational Resilience Act establis...
      EU
      Regulation
      		 vCurrent View →
      GDPR General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin...
      EU
      Regulation
      		 vCurrent View →
      IRDAI IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements...
      India
      Guideline
      		 vLatest View →
      ISO22301 ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co...
      ISO
      Standard
      		 v2019 View →
      ISO27002 ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a...
      ISO
      Standard
      		 v2022 View →
      NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev...
      NIST
      Framework
      		 v2 View →
      NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i...
      NIST
      Control Catalog
      		 vRev. 5 View →
      NPCI-ISR NPCI Information Security Requirements NPCI information-security requirements define cont...
      India
      Standard
      		 vLatest View →
      SEBI-CSCRF SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor...
      India
      Regulation
      		 vLatest View →
      SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting...
      AICPA
      Audit Framework
      		 vLatest View →
      HIPAA Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement...
      US
      Law
      		 vCurrent View →
      ISO27001 ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for...
      ISO
      Standard
      		 v2022 View →
      NIS2 NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri...
      EU
      Directive
      		 vCurrent View →
      RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set...
      India
      Regulation
      		 vLatest View →

      Parent Domain Context

      Governance Domain Baseline
      Domain Name:
      Compliance Management (CMP)
      Purpose:
      To ensure adherence to applicable laws, regulations, and contractual obligations.
      Scope:
      Enterprise
      View

      Compliance Requirements & Audit Crosswalk

      10 Specific Audit Clauses

      The following requirements dictate specific audit evidence criteria and testing steps mapped directly under this control.

      REQUIREMENT ID REQUIREMENT TITLE & DETAILS MAPPED CONTROL TYPICAL OWNER ACTION
      CMP-004-R001 Non-Compliance Identification The organization shall identify instance... CMP-004 Non-Compliance Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗
      CMP-004-R002 Non-Compliance Recording The organization shall record identified... CMP-004 Non-Compliance Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗
      CMP-004-R003 Non-Compliance Classification The organization shall establish a class... CMP-004 Non-Compliance Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗
      CMP-004-R004 Root Cause Analysis The organization shall conduct root caus... CMP-004 Non-Compliance Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗
      CMP-004-R005 Corrective Action Planning The organization shall develop formal co... CMP-004 Non-Compliance Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗
      CMP-004-R006 Corrective Action Implementation The organization shall implement approve... CMP-004 Non-Compliance Management Audit & Compliance View ↗
      CMP-004-R007 Corrective Action Verification The organization shall verify that imple... CMP-004 Non-Compliance Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗
      CMP-004-R008 Non-Compliance Escalation The organization shall establish escalat... CMP-004 Non-Compliance Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗
      CMP-004-R009 Non-Compliance Reporting The organization shall report on non-com... CMP-004 Non-Compliance Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗
      CMP-004-R010 Non-Compliance Closure The organization shall establish process... CMP-004 Non-Compliance Management Chief Compliance Officer, Compliance Management, Risk Owners View ↗