Perform the ISO 19600 Compliance Management Assessment using eAuditor
ISO 19600 Compliance Management is an international standard that provides guidelines for establishing, developing, implementing, evaluating, maintaining, and improving a compliance management system (CMS). It helps organizations ensure they meet legal, regulatory, and internal compliance obligations while promoting an ethical culture and sound governance.
Performing an ISO 19600 Compliance Management Assessment using eAuditor ensures a structured, risk-based evaluation of your organization’s compliance management system (CMS), focusing on legal, regulatory, and ethical adherence. Leveraging eAuditor allows organizations to digitally assess key compliance processes, capture real-time evidence, assign corrective actions, and promote a culture of continuous improvement in governance, accountability, and transparency.
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Preparation for the ISO 19600 Assessment in eAuditor
1.1 Define the Scope and Objectives
- Identify the purpose of the assessment:
- Evaluate current compliance practices
- Prepare for internal or third-party audits
- Strengthen governance and ethics programs
- Set the assessment scope:
- Enterprise-wide or department-specific
- Full ISO 19600 coverage or targeted clauses (e.g., risk assessment or reporting)
1.2 Prepare Reference Documents
- ISO 19600 standard (for guidance-based comparison)
- Internal policies, codes of conduct, SOPs
- Regulatory registers and legal obligation maps
- Previous compliance audit reports
- Risk assessment matrices and internal training records
1.3 Build the ISO 19600 Checklist in eAuditor
Create or customize a checklist in eAuditor covering ISO 19600’s key elements:
- Compliance framework and leadership commitment
- Compliance risk identification and assessment
- Implementation of controls and procedures
- Monitoring, audits, and non-compliance response
- Communication, training, and reporting structures
- Continuous evaluation and improvement
Configure fields to include:
- Compliance rating (Compliant, Partial, Non-Compliant)
- Notes and observations
- Attachments (photos, documents, links)
- Assigned personnel and action due dates
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Conducting the ISO 19600 Assessment in eAuditor
2.1 Perform Clause-by-Clause Evaluation
Use the checklist to systematically assess the CMS in line with ISO 19600 principles:
Compliance Culture & Governance
- Is top management demonstrating commitment to compliance?
- Are values like integrity and transparency embedded in the organization?
Compliance Risk Assessment
- Are compliance risks identified, assessed, and documented?
- Are controls tailored to the organization’s risk appetite?
Policy & Procedure Management
- Are policies regularly updated and communicated?
- Are there systems in place for document control and access?
Roles, Responsibilities, and Resources
- Are compliance roles clearly defined across the organization?
- Is the compliance function adequately resourced?
Training and Awareness
- Are staff trained on compliance policies and obligations?
- Is ongoing education part of the compliance program?
Monitoring, Reporting, and Auditing
- Are compliance audits conducted regularly?
- Is there a mechanism for anonymous reporting of breaches?
Incident Management and Corrective Action
- Are breaches or non-compliance events documented and investigated?
- Are corrective and preventive actions tracked and verified?
2.2 Capture Real-Time Observations
- Use eAuditor’s mobile interface to:
- Take photos of evidence (e.g., training logs, posters, policy docs)
- Record voice notes or written observations
- Tag non-compliance instances by severity (High, Medium, Low)
2.3 Collaborate Across Teams
- Assign findings and actions to compliance officers or department heads
- Use @mentions to clarify or discuss issues directly in the app
- Enable digital sign-offs and acknowledgment of findings
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Post-Assessment Activities in eAuditor
3.1 Generate and Share the Compliance Report
- eAuditor automatically compiles a professional, clause-aligned report including:
- Summary of compliance scores
- Gaps and risk-ranked issues
- Photographic and documentary evidence
- Assigned action items with responsible parties and due dates
3.2 Assign and Track Corrective Actions
- For each identified gap:
- Create a task in eAuditor’s Action Management system
- Assign deadlines and escalation paths
- Monitor progress in real time with notifications for overdue items
3.3 Analyze Trends and Benchmark Performance
- Use the analytics dashboard to:
- Visualize trends in compliance gaps across departments or time
- Identify recurring issues and root causes
- Track completion rates of assigned corrective actions
- Benchmark branch or team performance
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Priority Areas to Focus on in the ISO 19600 eAuditor Checklist
- Leadership engagement and compliance governance
- Identification and evaluation of legal obligations
- Code of conduct and whistleblowing mechanisms
- Training frequency and content effectiveness
- Incident investigation documentation
- Response time to compliance breaches
- Audit schedules and closure of past findings
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Advantages of Using eAuditor for ISO 19600 Assessment
- Customizable digital checklists aligned with the ISO 19600 structure
- Offline capability for remote or field-based assessments
- Multimedia documentation for transparent evidence capture
- Real-time collaboration across audit and compliance teams
- Automated reporting with clause-specific findings
- Action tracking to ensure the timely resolution of compliance issues
- Dashboard analytics for data-driven compliance management
Summary
Conducting an ISO 19600 Compliance Management Assessment using eAuditor equips organizations with a smart, scalable, and risk-based tool to evaluate the effectiveness of their compliance systems. With features like real-time evidence collection, automatic action tracking, and data analytics, eAuditor enables companies to go beyond checkbox compliance—embedding integrity, transparency, and continual improvement into their governance culture.