A norma ISO 37301 determina no requisito 9.1.2 as fontes de feedback de Compliance, com o intuito de melhorar a cultura de Compliance, entenda mais.
A organização deve estabelecer, implementar, avaliar e manter processos para buscar e receber o feedback sobre o desempenho do Compliance a partir de várias fontes.
A informação deve ser analisada avaliada criticamente para identificar as causas raiz do não Compliance, assegurando que ações apropriadas foram tomadas, e contemplar esta informação na avaliação periódica dos riscos.
Confira agora mais detalhes sobre como e por que a análise das fontes de realimentação sobre o desempenho do Compliance deve ser realizada na sua organização.
Conheça sobre a ISO 37301 – Sistema de Gestão de Compliance.
Análise das Fontes Feedback de Compliance
O Sistema de Gestão de Compliance, objeto de Certificação pela ISO 37301 tem como característica a apresentação de requisitos para demonstrar a eficácia de um programa de Compliance.
A grande vantagem dessa Certificação, é proporcionar à empresa que cumpre suas obrigações mecanismos para obter resultados baseados em suas ações voltadas para a conformidade.
Além disso, a estrutura da norma facilita a integração com outros programas de gestão empresarial, como o de sustentabilidade, por exemplo.
A certificação ISO 37301 possui como requisito as fontes de realimentação sobre o desempenho do Compliance, sendo elas:
- Pessoal;
- Clientes;
- Fornecedores;
- Parceiros de negócio;
- Órgãos reguladores;
- Controle de log e registros de atividades;
- Demais
A ISO 37301 foi elaborada pelo Comitê Técnico 309 da ISO e apresenta a mesma estrutura de outras normas relevantes como a ISO 37001, ISO 9001, dentre outras.
Confira agora alguns exemplos de métodos para coletar informações:
- Relatório ad hoc sobre não Compliance quando eles surgem ou são identificados;
- Informações obtidas por meios dos canais de denúncias, reclamações e outras manifestações, incluindo os denunciantes;
- Discussões informais, reuniões e grupos com focos no tema;
- Amostragem e testes de integridade, como compras misteriosas;
- Resultados de pesquisa de opinião;
- Observações direta, entrevistas formais, inspeções e visitas nas instalações;
- Auditorias e análises críticas;
- Questionários das partes interessadas;
- Solicitações de treinamento e realimentação apresentadas durante o treinamento.
Para que um sistema gestão de Compliance, com a certificação ISO 37301, seja eficaz em toda a organização, as fontes de realimentação sobre o desempenho do Compliance são fundamentais.
A ISO 37301 exerce o papel de reforçar a necessidade de cultivar uma cultura de Compliance.
Saiba mais sobre a importância de uma cultura de Compliance em sua organização.
As práticas e sistemas de Compliance tornam-se altamente sustentáveis quando incorporados à cultura da organização.
Elas permitem que a organização demonstre o seu grau de comprometimento legal e regulatório, bem como também sua integridade, transparência e boas práticas de governança.
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