ISO 19600 Compliance Management Checklist

Context Of The Organisation

Do we understand the external and internal issues related to compliance

YES
NO
N/A

Have we determined interested parties and their requirements

YES
NO
N/A

Have we determined the scope of the system and documented it

YES
NO
N/A

Does our CMS reflect the organization’s values, objectives, strategy and compliance risks

YES
NO
N/A

Have we identified our compliance obligations and their implications and documented this

YES
NO
N/A

Do we have a process to identify changes to law and other obligations and do we evaluate these changes and implement changes as appropriate

YES
NO
N/A

?Have we identified, analysed and evaluated compliance risks

YES
NO
N/A

?Do we re-assess when changes or issues occur

YES
NO
N/A

Is the compliance function independent and have the authority to act

YES
NO
N/A

Leadership

Are responsibilities for compliance assigned and communicated

YES
NO
N/A

Has the board and top management: established policy, ensured commitment to compliance maintained, non-compliance is dealt with, ensured compliance responsibilities are in top management position statements, appointed a compliance function with appropriate authority and resources

YES
NO
N/A

Does the compliance function with management have responsibility for; identifying obligations and acting on them, integrating compliance into processes, providing training to support employees, establishing compliance reporting processes, establishing processes for complaints/hot-lines/whistle-blower as appropriate, establishing performance indicators, identifying and managing risks, reviewing the CMS, providing employees with information and advice, ensure access to professional advice as required

YES
NO
N/A

Do Managers have responsibilities for compliance within their area of responsibility including job descriptions and performance appraisals

YES
NO
N/A

Are all employees aware of their responsibilities including adhering to obligations, participate in training, use compliance resources, report compliance concerns

YES
NO
N/A

Planning

?Are plans in place to address compliance risks

YES
NO
N/A

?Are the risks and plans to address them documented

YES
NO
N/A

Do we have documented compliance objectives at relevant levels and functions and plans to achieve them

YES
NO
N/A

Support

Have we determined what resources are required and deployed them to ensure the system is effective, objectives are achieved and compliance achieved

YES
NO
N/A

Have we determined the necessary competence of employee(s) related to Compliance and taken action as necessary? Have we retained documented information as evidence

YES
NO
N/A

Do we have a training program to ensure that all employees are competent to fulfil their job role consistent with the organization’s commitment to compliance

YES
NO
N/A

Have we ensured all persons doing work are aware of the compliance policy, their role and contribution to the CMS and implications of not conforming

YES
NO
N/A

Is behaviour that creates and supports compliance encouraged and behaviour that compromises compliance not tolerated

YES
NO
N/A

Has the board, top management and management committed towards a common, published standard of compliance behaviour that is required throughout every area of the organization

YES
NO
N/A

Have we adopted appropriate methods of communication to ensure that the compliance message is heard and understood by all employees on an on-going basis

YES
NO
N/A

Have we put in place a practical approach to external communication, targeting all interested parties, as appropriate

YES
NO
N/A

Are internal and external documents relating to the CMS approved for use and protected adequately

YES
NO
N/A

Operation

Do we control planned changes and review the consequences of unintended changes relevant to the CMS

YES
NO
N/A

Have we established controls and procedures to manage obligations and associated risks to achieve desired behaviour

YES
NO
N/A

Are these controls maintained, periodically evaluated and tested to ensure their continuing effectiveness

YES
NO
N/A

Have we established, documented, implemented and maintained procedures to support the compliance policy and translate the compliance obligations into practice

YES
NO
N/A

Have we ensured outsourced processes are controlled and monitored

YES
NO
N/A

Do we have specific arrangements for identifying, reporting and escalating noncompliance and risks of noncompliance

YES
NO
N/A

Performance Evaluation

? Do we evaluate the CMS performance and effectiveness

YES
NO
N/A

Have we established a plan for; continual monitoring, setting out monitoring processes, schedules, resources and the information to be collected

YES
NO
N/A

Do we consider effectiveness of training, controls, responsibilities, currency of obligations

YES
NO
N/A

Do we monitor; noncompliance and “near misses”, instances where obligations or objectives are not met, status of compliance culture and, leading and lag indicators

YES
NO
N/A

Have we procedures for seeking and receiving feedback on compliance performance from stakeholders such as employees, customers, suppliers, regulators and from control logs and activity records

YES
NO
N/A

Have we information management systems for capturing issues and complaints that allow classification and analysis of those that relate to compliance

YES
NO
N/A

Have we a set of measurable indicators that assist in measuring achievement of our objectives and quantifying compliance performance

YES
NO
N/A

Is the board and top management effectively informed in a timely manner on the performance of the CMS and all relevant noncompliance

YES
NO
N/A

Are employees encouraged to respond to and report noncompliance without fear of retaliation

YES
NO
N/A

بدون عنوان

YES
NO
N/A