{"id":391634,"date":"2024-10-20T04:00:23","date_gmt":"2024-10-20T04:00:23","guid":{"rendered":"https:\/\/pdfstandards.shop\/product\/uncategorized\/bs-iso-373012021-tc-2\/"},"modified":"2024-10-26T07:25:33","modified_gmt":"2024-10-26T07:25:33","slug":"bs-iso-373012021-tc-2","status":"publish","type":"product","link":"https:\/\/pdfstandards.shop\/product\/publishers\/bsi\/bs-iso-373012021-tc-2\/","title":{"rendered":"BS ISO 37301:2021 – TC"},"content":{"rendered":"

This document specifies requirements and provides guidelines for establishing, developing, implementing, evaluating, maintaining and improving an effective compliance management system within an organization.<\/p>\n

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.<\/p>\n

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.<\/p>\n

PDF Catalog<\/h4>\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n
PDF Pages<\/th>\nPDF Title<\/th>\n<\/tr>\n
1<\/td>\ncompares BS ISO 19600:2014 <\/td>\n<\/tr>\n
2<\/td>\nTRACKED CHANGES
Text example 1 \u2014 indicates added text (in green) <\/td>\n<\/tr>\n
8<\/td>\nForeword <\/td>\n<\/tr>\n
9<\/td>\nIntroduction <\/td>\n<\/tr>\n
10<\/td>\nFigure 1 \u2014 Flowchart of a compliance management system <\/td>\n<\/tr>\n
14<\/td>\n3.4
governing body
3.5
employee
3.6
compliance function
3.73.4
3.83.5
3.93.6 <\/td>\n<\/tr>\n
15<\/td>\nprocess
3.113.7
3.12
compliance risk <\/td>\n<\/tr>\n
16<\/td>\n3.15
compliance commitment <\/td>\n<\/tr>\n
18<\/td>\n3.193.28
code
organizational and industry standards
3.22
regulatory authority
3.23
competence
3.24
documented information <\/td>\n<\/tr>\n
19<\/td>\n3.253.31
3.26
performance
3.27
continual improvement
3.28
3.29
monitoring
3.30
measurement
3.31
audit
3.32
conformity
3.33
nonconformity <\/td>\n<\/tr>\n
20<\/td>\n3.34
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 <\/td>\n<\/tr>\n
21<\/td>\n4.4 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 <\/td>\n<\/tr>\n
22<\/td>\n5.1.2 Compliance culture
5.1.3 Compliance governance <\/td>\n<\/tr>\n
23<\/td>\n5.2 Compliance policy <\/td>\n<\/tr>\n
24<\/td>\n5.3 Roles, responsibilities and authorities
5.3.1 Governing body and top management
5.3.2 Compliance function <\/td>\n<\/tr>\n
25<\/td>\n5.3.3 Management
5.3.4 Personnel <\/td>\n<\/tr>\n
26<\/td>\n6.1 Actions to address risks and opportunities
6.2 Compliance objectives and planning to achieve them <\/td>\n<\/tr>\n
27<\/td>\n6.3 Planning of changes
7.1 Resources
7.2 Competence
7.2.1 General
7.2.2 Employment process <\/td>\n<\/tr>\n
28<\/td>\n7.2.3 Training
7.3 Awareness
7.4 Communication <\/td>\n<\/tr>\n
29<\/td>\n7.5 Documented information
7.5.1 General
7.5.2 Creating and updating documented information
7.5.3 Control of documented information <\/td>\n<\/tr>\n
30<\/td>\n8.1 Operational planning and control
8.2 Establishing controls and procedures
8.3 Raising concerns <\/td>\n<\/tr>\n
31<\/td>\n8.4 Investigation processes
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General <\/td>\n<\/tr>\n
32<\/td>\n9.1.2 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 <\/td>\n<\/tr>\n
33<\/td>\n9.3 Management review
9.3.1 General
9.3.2 Management review inputs <\/td>\n<\/tr>\n
34<\/td>\n9.3.3 Management review results
10.1 Continual improvement
10.2 Nonconformity and corrective action <\/td>\n<\/tr>\n
38<\/td>\n4.5.2 Maintenance of compliance obligations <\/td>\n<\/tr>\n
39<\/td>\n4.6 Identification, analysis and evaluation of compliance risks <\/td>\n<\/tr>\n
42<\/td>\n5.2 Compliance policy
5.2.1 General <\/td>\n<\/tr>\n
43<\/td>\n5.2.2 Development
5.3 Organizational roles, responsibilities and authorities
5.3.1 General
5.3.2 Assigning responsibility for compliance in the organization <\/td>\n<\/tr>\n
44<\/td>\n5.3.3 Governing body and top management role and responsibility <\/td>\n<\/tr>\n
45<\/td>\n5.3.4 Compliance function
5.3.5 Management responsibilities <\/td>\n<\/tr>\n
46<\/td>\n5.3.6 Employee responsibility
6.1 Actions to address compliance risks <\/td>\n<\/tr>\n
47<\/td>\n6.2 Compliance objectives and planning to achieve them
7.1 Resources <\/td>\n<\/tr>\n
48<\/td>\n7.2 Competence and training
7.2.1 Competence
7.2.2 Training <\/td>\n<\/tr>\n
49<\/td>\n7.3 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 <\/td>\n<\/tr>\n
50<\/td>\n7.3.2.3 Compliance culture
7.4 Communication
7.4.1 General <\/td>\n<\/tr>\n
51<\/td>\n7.4.2 Internal communication
7.4.3 External communication
7.5 Documented information
7.5.1 General <\/td>\n<\/tr>\n
52<\/td>\n7.5.2 Creating and updating
7.5.3 Control of documented information
8.1 Operational planning and control <\/td>\n<\/tr>\n
53<\/td>\n8.2 Establishing controls and procedures <\/td>\n<\/tr>\n
54<\/td>\n8.3 Outsourced processes
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
9.1.2 Monitoring <\/td>\n<\/tr>\n
55<\/td>\n9.1.3 Sources of feedback on compliance performance
9.1.4 Methods of information collection <\/td>\n<\/tr>\n
56<\/td>\n9.1.5 Information analysis and classification
9.1.6 Development of indicators <\/td>\n<\/tr>\n
57<\/td>\n9.1.7 Compliance reporting
9.1.8 Content of compliance reports <\/td>\n<\/tr>\n
58<\/td>\n9.1.9 Record-keeping
9.2 Audit <\/td>\n<\/tr>\n
59<\/td>\n9.3 Management review
10.1 Nonconformity, noncompliance and corrective action
10.1.1 General <\/td>\n<\/tr>\n
60<\/td>\n10.1.2 Escalation <\/td>\n<\/tr>\n
61<\/td>\n10.2 Continual improvement <\/td>\n<\/tr>\n
76<\/td>\nBibliography <\/td>\n<\/tr>\n
78<\/td>\nNational foreword <\/td>\n<\/tr>\n
83<\/td>\nForeword <\/td>\n<\/tr>\n
84<\/td>\nIntroduction <\/td>\n<\/tr>\n
87<\/td>\n1 Scope
2 Normative references
3 Terms and definitions <\/td>\n<\/tr>\n
91<\/td>\n4 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 <\/td>\n<\/tr>\n
92<\/td>\n4.4 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 <\/td>\n<\/tr>\n
93<\/td>\n5.1.2 Compliance culture
5.1.3 Compliance governance <\/td>\n<\/tr>\n
94<\/td>\n5.2 Compliance policy
5.3 Roles, responsibilities and authorities
5.3.1 Governing body and top management <\/td>\n<\/tr>\n
95<\/td>\n5.3.2 Compliance function <\/td>\n<\/tr>\n
96<\/td>\n5.3.3 Management
5.3.4 Personnel
6 Planning
6.1 Actions to address risks and opportunities <\/td>\n<\/tr>\n
97<\/td>\n6.2 Compliance objectives and planning to achieve them
6.3 Planning of changes <\/td>\n<\/tr>\n
98<\/td>\n7 Support
7.1 Resources
7.2 Competence
7.2.1 General
7.2.2 Employment process
7.2.3 Training <\/td>\n<\/tr>\n
99<\/td>\n7.3 Awareness
7.4 Communication <\/td>\n<\/tr>\n
100<\/td>\n7.5 Documented information
7.5.1 General
7.5.2 Creating and updating documented information
7.5.3 Control of documented information <\/td>\n<\/tr>\n
101<\/td>\n8 Operation
8.1 Operational planning and control
8.2 Establishing controls and procedures
8.3 Raising concerns
8.4 Investigation processes <\/td>\n<\/tr>\n
102<\/td>\n9 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 <\/td>\n<\/tr>\n
103<\/td>\n9.1.5 Record-keeping
9.2 Internal audit
9.2.1 General
9.2.2 Internal audit programme
9.3 Management review
9.3.1 General <\/td>\n<\/tr>\n
104<\/td>\n9.3.2 Management review inputs
9.3.3 Management review results
10 Improvement
10.1 Continual improvement <\/td>\n<\/tr>\n
105<\/td>\n10.2 Nonconformity and corrective action <\/td>\n<\/tr>\n
106<\/td>\nAnnex A (informative) Guidance for the use of this document <\/td>\n<\/tr>\n
126<\/td>\nBibliography <\/td>\n<\/tr>\n<\/table>\n","protected":false},"excerpt":{"rendered":"

Tracked Changes. Compliance management systems. Requirements with guidance for use<\/b><\/p>\n\n\n\n\n
Published By<\/td>\nPublication Date<\/td>\nNumber of Pages<\/td>\n<\/tr>\n
BSI<\/b><\/a><\/td>\n2021<\/td>\n128<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n","protected":false},"featured_media":391644,"template":"","meta":{"rank_math_lock_modified_date":false,"ep_exclude_from_search":false},"product_cat":[84,2641],"product_tag":[],"class_list":{"0":"post-391634","1":"product","2":"type-product","3":"status-publish","4":"has-post-thumbnail","6":"product_cat-03-100-02","7":"product_cat-bsi","9":"first","10":"instock","11":"sold-individually","12":"shipping-taxable","13":"purchasable","14":"product-type-simple"},"_links":{"self":[{"href":"https:\/\/pdfstandards.shop\/wp-json\/wp\/v2\/product\/391634","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/pdfstandards.shop\/wp-json\/wp\/v2\/product"}],"about":[{"href":"https:\/\/pdfstandards.shop\/wp-json\/wp\/v2\/types\/product"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/pdfstandards.shop\/wp-json\/wp\/v2\/media\/391644"}],"wp:attachment":[{"href":"https:\/\/pdfstandards.shop\/wp-json\/wp\/v2\/media?parent=391634"}],"wp:term":[{"taxonomy":"product_cat","embeddable":true,"href":"https:\/\/pdfstandards.shop\/wp-json\/wp\/v2\/product_cat?post=391634"},{"taxonomy":"product_tag","embeddable":true,"href":"https:\/\/pdfstandards.shop\/wp-json\/wp\/v2\/product_tag?post=391634"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}