Non-Compliance
What is Non-Compliance?
The failure to adhere to applicable laws, regulations, standards, or organizational policies, potentially resulting in penalties or enforcement actions.
Terms that appear alongside non-compliance
Each of these is named in at least one of the same controls as non-compliance. The number is how many controls name both.
- compliance 85 shared controls
- audit 19 shared controls
- remediation 14 shared controls
- data protection 14 shared controls
- certification 13 shared controls
- gdpr 12 shared controls
- transparency 12 shared controls
- consent 11 shared controls
Frameworks that govern non-compliance
What the standards actually require on non-compliance
Requirements naming non-compliance across 6 standards, quoted from the control text.
The practitioner must accumulate instances of non-compliance found by the entity and the practitioner, other than clearly trivial ones, to conclude on the statement (attestation) or directly (direct), and must assess individually and in aggregate whether the n...
asae-3100-compliance-engagements-auasb-december-2022::p49-50 · Paragraphs 49 and 50 Evaluating instances of non-compliance →Article 4(4): an operator must not place products on the market or export them where they are non-compliant, where due diligence has revealed a non-negligible risk of non-compliance, or where it could not complete the due diligence and statement obligations.
regulation-eu-20231115-on-deforestation-free-supply-chains::4(4) · Do not place or export where non-compliance or non-negligible risk remains →Agencies should review every decision to be non-compliant with any control no less often than once a year.
new-zealand-information-security-manual-nzism::1.1.68.C.01 · 1.1.68.C.01 Annual review of non-compliance decisions →If the Competent Authority considers an intermediary has not fully complied with a code, it may serve a notice detailing the shortfall and directing remedial steps within a set time;
singapore-protection-from-online-falsehoods-and-manipulation-act-pofma-2019::s50 · s.50 Remedy code non-compliance when served a notice →Article 29 enables the Commission to adopt a non-compliance decision establishing that the gatekeeper does not comply with one or more Article 5/6/7 obligations and ordering compliance.
DMA-Art.29 · Non-compliance (Article 29) →The AI governance board establishes clear pathways for employees to report non-compliance with the policy to the board; the agency seeks to remedy non-compliance, and where it cannot, the board notifies the Agency Head and the Accountable Official, who must de...
nsw-ai-operational-policy-2026::7.1 · 7.1 Report and remedy non-compliance →Questions people ask about non-compliance
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