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Audit your compliance management system with an ISO 19600 compliance checklist template

The ISO 19600 is based on the principles of good governance, proportionality, transparency and sustainability and can help you establish and maintain a compliance management system for your organization in order to make sure you're complying with and implementing laws, norms and regulations. Use this iso 19600 compliance checklist to make sure to consider stakeholders' expectations and maintain a culture of integrity and compliance to create a successful and sustainable organization.

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Audit your compliance management system with an ISO 19600 compliance checklist template

Compliance Context

Do you understand the needs and expectations of interested parties?
Have you identified and evaluated compliance risks?
Does you CMS reflect your organization's values, obectives and compliance risks?
Can you identify your compliance obligations and their implications and document them?

Concerning policy/norm changes:

Do you have a process to identify changes to law and other obligations?
Can you evaluate these changes and implement changes as appropriate?
Do you reassess when changes occur?


Are responsibilities for compliance assigned and communicated?
Has the board appointed a compliance function with appropriate authority and resources?
Do Managers have responsibilities for compliance within their area of responsibility including job descriptions and performance appraisals?
Are employees aware of their responsibilities including adhering to obligations, participate in training, using compliance resources, reporting compliance concerns?


If a noncompliance occurs do you take action to control and correct and review the effectiveness of your corrective action and make the necessary changes to the system?
Do you ensure regulatory authorities are informed in accordance with all applicable regulations?
Do you continually improve the suitability, adequacy and effectiveness of your CMS?
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What You Need to Know About ISO 19600 Compliance Checklist

ISO 19600 is a standard that provides guidance for establishing, developing, implementing, evaluating, maintaining, and improving compliance management systems. An ISO 19600 compliance checklist can help organizations ensure that they meet the requirements of this standard.

The checklist typically includes items related to the various aspects of compliance management, such as leadership commitment, risk management, compliance communication, training and awareness, and monitoring and review. For example, the checklist may ask if the organization has established a compliance policy, identified and assessed compliance risks, provided training to employees, and conducted periodic compliance reviews.

Using an ISO 19600 compliance checklist can help organizations assess their compliance management systems and identify areas for improvement. It can also help them demonstrate their commitment to compliance with stakeholders, such as customers, employees, and regulators.

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