With the continuous improvement of corporate compliance awareness, more and more enterprises have begun to pay attention to the construction and certification of compliance management systems. In order to help enterprises better understand the application materials and audit process of the compliance management system certification GB T35770-2017, this article will introduce it in detail.
1. Application materials.
1.Application form: A completed application form, including basic information of the enterprise, coverage of the management system, scope of certification, etc. The application form must be stamped with the official seal of the enterprise.
2.Supporting documents: copies of necessary documents such as business license, organization certificate, tax registration certificate, etc.
3.Management manual: Provide a management manual for the compliance management system, including system policies, objectives, organizational structure, responsibilities and authority, procedure documents, work instructions, etc.
4.Procedural documents: Provide necessary procedural documents, including compliance risk identification, assessment, control, reporting, etc.
5.Record files: Provide necessary record files, including records of compliance management activities, records of compliance training, etc.
6.Self-assessment report: Provide a self-assessment report of the compliance management system, conduct a self-evaluation of the company's compliance management system, and put forward suggestions for improvement.
Second, the review process.
1.Submit the application: The enterprise submits the application form and relevant information to the certification body.
2.Data review: The certification body reviews the application materials to confirm whether the enterprise meets the certification requirements.
3.On-site audit: The certification body conducts an on-site audit of the enterprise, including the implementation of the management system, compliance risk control, etc.
4.Audit report: The certification body issues an audit report based on the on-site audit, and puts forward improvement suggestions and certification conclusions.
5.Certification decision: The certification body makes a certification decision based on the audit report and other information, and decides whether to issue a certification certificate.
6.Certificate management: The certification body manages the certification certificates issued, including the validity period of the certificate, supervision and audit, etc.
3. Precautions.
1.Enterprises should ensure the authenticity and completeness of the application materials, otherwise it may lead to the failure of the audit or the revocation of the certification certificate.
2.Enterprises should prepare for on-site audits in accordance with the requirements of certification bodies to ensure that the audit work is carried out smoothly.
3.Enterprises should take seriously the improvement suggestions in the audit report, actively carry out rectification and improvement, and continuously improve the effectiveness of the compliance management system.
4.Enterprises should comply with the management regulations of the certification body to ensure the validity and legitimacy of the certification certificate.
In short, the application materials and review process of the compliance management system certification GB T35770-2017 are an important part of corporate compliance management. Enterprises should carefully prepare the application materials and conduct the declaration and review in accordance with the audit process to improve the effectiveness and management level of the compliance management system. At the same time, the certification body should also strictly abide by the relevant regulations to ensure the fairness and authority of the certification work.