ISO 37301 Lead Implementer Quiz Questions and Answers

Which option below demonstrates best the leadership and commitment of top management and governing body with respect to the CMS?

Answer :
  • Establishing compliance policy and objectives, integrating the CMS requirements into the organization, providing resources, supporting persons in the organization who are responsible for the effectiveness of the CMS

What is the difference between the governing body and top management?

Answer :
  • The governing body runs the organization by setting the strategic directions, goals, limitations, etc., whereas top management directs and controls the organization’s day-to-day operations in order to ensure the achievement of the goals set by the governing body

Which option below best describes the leadership and commitment of the governing body and top management regarding compliance culture?

Answer :
  • The governing body and top management demonstrate an active, visible, consistent, and sustained commitment toward compliance

A compliance policy is part of the high-level general policies of an organization. What do such policies define?

Answer :
  • General guidelines for the management of a sector of activities within an organization

Which part of a policy structure contains a description of the intent of the policy?

Answer :
  • Objectives

What is the purpose of reviewing, controlling, and evaluating the compliance policy?

Answer :
  • To ensure continual improvement

Who is responsible for the establishment of the compliance policy?

Answer :
  • The governing body and top management

According to ISO 37301, who is responsible for assigning responsibilities and authorities for relevant roles related to the CMS?

Answer :
  • The governing body and top management

When it comes to responsibilities of the compliance function, which of the options below is incorrect?

Answer :
  • The compliance function should be segregated from the decision-making hierarchy

Which of the following tools can be used by organizations to clarify the roles and responsibilities for key processes?

Answer :
  • RACI Matrix