ISO 19600:2014 Checklist
Compliance Management
1.0 Key Documents
Scope of the Compliance Management Systems (CMS)
Compliance obligations and plans to achieve
Compliance Policy
Compliance risks and plans to address
Employee competency records
Audit programme and audit results
Results of management review
Non-conformances and actions taken
Results of monitoring activities
2.0 Context of Organisation
Do you understand the external and internal issues related to compliance?
Have you determined interested parties and their requirements?
Have you determined the scope of the system and documented it?
Does your CMS reflect the organisation’s values, objectives, strategy and compliance risks?
Have you identified our compliance obligations and their implications and documented this?
Do you have a process to identify changes to law and other obligations and do we evaluate these changes and implement changes as appropriate?
Have you identified, analysed and evaluated compliance risks? Do we re-assess when changes or issues occur?
Is the compliance function independent and have the authority to act?
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3.0 Leadership
3.1 Board & Top Management Commitment
Can you demonstrate the board and top management are committed to providing leadership and commitment to the compliance management systems?
Roles & Responsibilities
Are management and employees aware of their responsibilities towards the compliance management systems?
Compliance Policy
Is the compliance policy available and understood by all interested parties?
Is there a frame work for continual improvement?
4.0 Planning
Are plans in place to address compliance risks?
Are the risks and plans to address them documented?
Do you have documented compliance objectives at relevant levels and functions and plans to achieve them?
5.0 Support
5.1 Employee Competence
Is the competence of employees documented?
Is a training program provided to ensure employees are able to fulfil their roles?
5.2 Awareness and Behaviour
Are interested parties aware of the policy and are they adhering to it?
5.3 Document Control
Are internal and external documents relating to the CMS approved for use and protected adequately?
6.0 Operations
6.1 Operational Changes
Are changes to operations controlled?
Are consequences of unintended changes reviewed?
6.2 Obligations Management
Are established controls and procedures both internal and outsourced, evaluated to establish their effectiveness?
Are non-compliance and risks escalated to management?
6.3 Procedure Support
Have you established, documented, implemented and maintained procedures to support the compliance policy?
7.0 Performance Evaluation
7.1 Monitoring
Do you have procedures for monitoring processes, schedules, resources and data to be collected?
Do you evaluate CMS performance and effectiveness?
7.2 Review
Are measurable indicators used to assess achievement of objectives and quantify compliance performance?
Do you conduct audits at planned intervals and retain documented evidence?
Does top management review CMS at planned intervals, including policy, objectives, resourcing, changes, and corrective actions
7.3 Documentation
Is documented information maintained, and are recommendations made for policy, processes, and corrective actions?
8.0 Improvement
8.1 Non-Compliance
Do you have procedures in place to manage non-compliance?
Are interested parties aware of the procedures for on-compliance?
Do you continually improve the effectiveness of the CMS?
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