Conducting Compliance Audits and Reviews According to ISO 19600
Conducting compliance audits and reviews according to ISO 19600 involves systematically evaluating the effectiveness of an organization's compliance management system to ensure it meets legal, regulatory, and internal policy requirements. This process begins with planning, where the scope, objectives, and criteria of the audit are defined, ensuring alignment with the organization's compliance obligations. Auditors, who must be impartial and competent, gather and analyze evidence through document reviews, interviews, and observations to assess whether compliance processes are effectively implemented and maintained. Findings are documented, highlighting areas of conformity as well as non-conformities and potential risks. The audit results are then communicated to management, providing a basis for corrective actions and continuous improvement. Regular compliance audits and reviews help identify gaps, reinforce accountability, and ensure that the compliance management system adapts to changes in the regulatory environment and organizational context, thereby supporting ongoing compliance and risk mitigation.
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Timecodes
0:00 - Introduction
0:30 - Understanding ISO 19600
1:13 - Compliance Audits vs. Reviews
1:43 - Planning the Audit or Review
2:03 - Conducting the Audit or Review
2:27 - Reporting and Communicating Findings
2:52 - Follow-up and Improvement
3:22 - Conclusion