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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 our free template 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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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?

Leadership

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?

Improvement

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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