{"id":20500,"date":"2020-12-22T09:00:50","date_gmt":"2020-12-22T08:00:50","guid":{"rendered":"https:\/\/eiposgrados.com\/?p=20500"},"modified":"2020-12-18T10:16:56","modified_gmt":"2020-12-18T09:16:56","slug":"key-elements-of-a-compliance-management-system","status":"publish","type":"post","link":"https:\/\/eiposgrados.com\/eng\/blog-dpo\/elementos-clave-de-un-sistema-de-gestion-de-compliance\/","title":{"rendered":"What are the key elements of a Compliance management system?"},"content":{"rendered":"<p>To analyze the key elements of a Management System <em>Compliance <\/em>(hereinafter, SGC), we must start from the definition of the SGC itself, that is,<strong> \u201ca set of practices that help prevent, detect and manage the risks associated with regulatory compliance that affect an organization.\u201d<\/strong><\/p>\n<ul>\n<li>First of all, it is important to know that a <strong>effective QMS<\/strong> must be built on <strong>a solid foundation of ethics and integrity<\/strong> fully supported by senior management, who must have and show commitment to compliance with the law and the values assumed internally in a sustained manner over time.<\/li>\n<li>On the other hand, according to the standard <strong>UNE ISO 19600<\/strong> of Management Systems <em>Compliance <\/em>(soon to be replaced by ISO 37301), the organization should determine and provide the necessary resources (financial, technological and human) for the establishment, development, implementation, evaluation, maintenance and continuous improvement of the QMS in accordance with the determined parameters during the exercise of understanding the organization and its context.<\/li>\n<\/ul>\n<h2>Fundamental elements of a QMS<\/h2>\n<p>This designation of resources is essential so that a correct identification of the compliance risks that must be addressed can be carried out within the organization. <strong>analyzed, evaluated and reviewed.<\/strong> In summary, we are talking about good detection and management of the risks of <em>Compliance<\/em> with the objective of establishing the appropriate control measures that allow preventing and deterring inappropriate behavior that may pose possible risks to the organization.<\/p>\n<p>As a consequence, the next essential element of a QMS is the <strong>implementation of control mechanisms.<\/strong> After the identification of non-compliance risks, it is necessary to identify and establish controls to try to mitigate or, at least detect, these risks within a reasonable period of time.<\/p>\n<p><img fetchpriority=\"high\" decoding=\"async\" class=\"alignnone size-medium wp-image-20791\" src=\"https:\/\/eiposgrados.com\/wp-content\/uploads\/2020\/12\/elementos-clave-de-un-sistema-de-gestio\u0301n-de-Compliance-300x200.jpg\" alt=\"key elements of a Compliance management system\" width=\"300\" height=\"200\" title=\"\" srcset=\"https:\/\/eiposgrados.com\/wp-content\/uploads\/2020\/12\/elementos-clave-de-un-sistema-de-gestio\u0301n-de-Compliance-300x200.jpg 300w, https:\/\/eiposgrados.com\/wp-content\/uploads\/2020\/12\/elementos-clave-de-un-sistema-de-gestio\u0301n-de-Compliance-1024x683.jpg 1024w, https:\/\/eiposgrados.com\/wp-content\/uploads\/2020\/12\/elementos-clave-de-un-sistema-de-gestio\u0301n-de-Compliance-768x512.jpg 768w, https:\/\/eiposgrados.com\/wp-content\/uploads\/2020\/12\/elementos-clave-de-un-sistema-de-gestio\u0301n-de-Compliance-1536x1024.jpg 1536w, https:\/\/eiposgrados.com\/wp-content\/uploads\/2020\/12\/elementos-clave-de-un-sistema-de-gestio\u0301n-de-Compliance-2048x1365.jpg 2048w, https:\/\/eiposgrados.com\/wp-content\/uploads\/2020\/12\/elementos-clave-de-un-sistema-de-gestio\u0301n-de-Compliance-248x165.jpg 248w, https:\/\/eiposgrados.com\/wp-content\/uploads\/2020\/12\/elementos-clave-de-un-sistema-de-gestio\u0301n-de-Compliance-190x126.jpg 190w, https:\/\/eiposgrados.com\/wp-content\/uploads\/2020\/12\/elementos-clave-de-un-sistema-de-gestio\u0301n-de-Compliance-scaled.jpg 1920w\" sizes=\"(max-width: 300px) 100vw, 300px\" \/><\/p>\n<p>In summary, controls serve to manage risks and the control function <em>Complianc<\/em>e can detect whether certain processes or employees are carrying out their activity in parallel with the regulations and values assumed by the company.<\/p>\n<p>In another order of ideas, the organization must focus on the <strong>training, awareness and communication.<\/strong> The organization must promote training among all its employees in matters of <em>Compliance<\/em>, so <strong>adequate, effective and proportionate<\/strong> to the organization and jobs. Awareness campaigns will also be necessary, as well as the establishment of communications that contain the expectations that the organization has regarding the culture of compliance. With the aim that the <strong>SGC do not lose effectiveness<\/strong> and do not become obsolete in the short term, it is essential that the organization monitors the QMS, that is, measures the adequacy and effectiveness of the QMS, through supervision and verification.<\/p>\n<p>Lastly, the organization must also <strong>establish a disciplinary system that imposes punishments<\/strong> to those employees who fail to comply with the organization&#039;s policies and procedures, in a manner proportionate to the non-compliance or infraction committed.<\/p>","protected":false},"excerpt":{"rendered":"<p>Do you know how to manage the key elements of a Compliance Management System in an organization? Do you want to know its main objective? We tell you all this and much more in detail in this article. Come in and stay well informed!<\/p>","protected":false},"author":64,"featured_media":20791,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"inline_featured_image":false,"footnotes":""},"categories":[330,368],"tags":[],"class_list":["post-20500","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-blog-dpo","category-compliance"],"acf":[],"_links":{"self":[{"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/posts\/20500","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/users\/64"}],"replies":[{"embeddable":true,"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/comments?post=20500"}],"version-history":[{"count":0,"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/posts\/20500\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/media\/20791"}],"wp:attachment":[{"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/media?parent=20500"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/categories?post=20500"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/eiposgrados.com\/eng\/wp-json\/wp\/v2\/tags?post=20500"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}