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BS ISO 37301:2021 – TC

BS ISO 37301:2021 – TC

$153.45

Tracked Changes. Compliance management systems. Requirements with guidance for use

Published By Publication Date Number of Pages
BSI 2021 128
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This document specifies requirements and provides guidelines for establishing, developing, implementing, evaluating, maintaining and improving an effective compliance management system within an organization.

This document is applicable to all types of organizations regardless of the type, size and nature of the activity, as well as whether the organization is from the public, private or non-profit sector.

All requirements specified in this document that refer to a governing body apply to top management in cases where an organization does not have a governing body as a separate function.

PDF Catalog

PDF Pages PDF Title
1 compares BS ISO 19600:2014
2 TRACKED CHANGES
Text example 1 — indicates added text (in green)
8 Foreword
9 Introduction
10 Figure 1 — Flowchart of a compliance management system
14 3.4
governing body
3.5
employee
3.6
compliance function
3.73.4
3.83.5
3.93.6
15 process
3.113.7
3.12
compliance risk
16 3.15
compliance commitment
18 3.193.28
code
organizational and industry standards
3.22
regulatory authority
3.23
competence
3.24
documented information
19 3.253.31
3.26
performance
3.27
continual improvement
3.28
3.29
monitoring
3.30
measurement
3.31
audit
3.32
conformity
3.33
nonconformity
20 3.34
correction
3.35
corrective action
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the compliance management system
21 4.4 Compliance management system and principles of good governance
4.5 Compliance obligations
4.6 Compliance risk assessment
5.1 Leadership and commitment
5.1.1 Governing body and top management
22 5.1.2 Compliance culture
5.1.3 Compliance governance
23 5.2 Compliance policy
24 5.3 Roles, responsibilities and authorities
5.3.1 Governing body and top management
5.3.2 Compliance function
25 5.3.3 Management
5.3.4 Personnel
26 6.1 Actions to address risks and opportunities
6.2 Compliance objectives and planning to achieve them
27 6.3 Planning of changes
7.1 Resources
7.2 Competence
7.2.1 General
7.2.2 Employment process
28 7.2.3 Training
7.3 Awareness
7.4 Communication
29 7.5 Documented information
7.5.1 General
7.5.2 Creating and updating documented information
7.5.3 Control of documented information
30 8.1 Operational planning and control
8.2 Establishing controls and procedures
8.3 Raising concerns
31 8.4 Investigation processes
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
32 9.1.2 Sources of feedback on compliance performance
9.1.3 Development of indicators
9.1.4 Compliance reporting
9.1.5 Record-keeping
9.2 Internal audit
9.2.1 General
9.2.2 Internal audit programme
33 9.3 Management review
9.3.1 General
9.3.2 Management review inputs
34 9.3.3 Management review results
10.1 Continual improvement
10.2 Nonconformity and corrective action
38 4.5.2 Maintenance of compliance obligations
39 4.6 Identification, analysis and evaluation of compliance risks
42 5.2 Compliance policy
5.2.1 General
43 5.2.2 Development
5.3 Organizational roles, responsibilities and authorities
5.3.1 General
5.3.2 Assigning responsibility for compliance in the organization
44 5.3.3 Governing body and top management role and responsibility
45 5.3.4 Compliance function
5.3.5 Management responsibilities
46 5.3.6 Employee responsibility
6.1 Actions to address compliance risks
47 6.2 Compliance objectives and planning to achieve them
7.1 Resources
48 7.2 Competence and training
7.2.1 Competence
7.2.2 Training
49 7.3 Awareness
7.3.1 General
7.3.2 Behaviour
7.3.2.1 General
7.3.2.2 Role of top management in encouraging compliance
50 7.3.2.3 Compliance culture
7.4 Communication
7.4.1 General
51 7.4.2 Internal communication
7.4.3 External communication
7.5 Documented information
7.5.1 General
52 7.5.2 Creating and updating
7.5.3 Control of documented information
8.1 Operational planning and control
53 8.2 Establishing controls and procedures
54 8.3 Outsourced processes
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
9.1.2 Monitoring
55 9.1.3 Sources of feedback on compliance performance
9.1.4 Methods of information collection
56 9.1.5 Information analysis and classification
9.1.6 Development of indicators
57 9.1.7 Compliance reporting
9.1.8 Content of compliance reports
58 9.1.9 Record-keeping
9.2 Audit
59 9.3 Management review
10.1 Nonconformity, noncompliance and corrective action
10.1.1 General
60 10.1.2 Escalation
61 10.2 Continual improvement
76 Bibliography
78 National foreword
83 Foreword
84 Introduction
87 1 Scope
2 Normative references
3 Terms and definitions
91 4 Context of the organization
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the compliance management system
92 4.4 Compliance management system
4.5 Compliance obligations
4.6 Compliance risk assessment
5 Leadership
5.1 Leadership and commitment
5.1.1 Governing body and top management
93 5.1.2 Compliance culture
5.1.3 Compliance governance
94 5.2 Compliance policy
5.3 Roles, responsibilities and authorities
5.3.1 Governing body and top management
95 5.3.2 Compliance function
96 5.3.3 Management
5.3.4 Personnel
6 Planning
6.1 Actions to address risks and opportunities
97 6.2 Compliance objectives and planning to achieve them
6.3 Planning of changes
98 7 Support
7.1 Resources
7.2 Competence
7.2.1 General
7.2.2 Employment process
7.2.3 Training
99 7.3 Awareness
7.4 Communication
100 7.5 Documented information
7.5.1 General
7.5.2 Creating and updating documented information
7.5.3 Control of documented information
101 8 Operation
8.1 Operational planning and control
8.2 Establishing controls and procedures
8.3 Raising concerns
8.4 Investigation processes
102 9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
9.1.2 Sources of feedback on compliance performance
9.1.3 Development of indicators
9.1.4 Compliance reporting
103 9.1.5 Record-keeping
9.2 Internal audit
9.2.1 General
9.2.2 Internal audit programme
9.3 Management review
9.3.1 General
104 9.3.2 Management review inputs
9.3.3 Management review results
10 Improvement
10.1 Continual improvement
105 10.2 Nonconformity and corrective action
106 Annex A (informative) Guidance for the use of this document
126 Bibliography

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BS ISO 37301:2021 - TC
$153.45