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BS ISO 37301:2021 - TC Tracked Changes. Compliance management systems. Requirements with guidance for use, 2021
- Foreword
- Introduction [Go to Page]
- Figure 1 — Flowchart of a compliance management system
- 3.4
- governing body
- 3.5
- employee
- 3.6
- compliance function
- 3.73.4
- 3.83.5
- 3.93.6
- process
- 3.113.7
- 3.12
- compliance risk
- 3.15
- compliance commitment
- 3.193.28
- code
- organizational and industry standards
- 3.22
- regulatory authority
- 3.23
- competence
- 3.24
- documented information
- 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
- 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
- 4.4 Compliance management system and principles of good governance
- 4.5 Compliance obligations
- 4.6 Compliance risk assessment
- 5.1 Leadership and commitment [Go to Page]
- 5.1.1 Governing body and top management
- 5.1.2 Compliance culture
- 5.1.3 Compliance governance
- 5.2 Compliance policy
- 5.3 Roles, responsibilities and authorities [Go to Page]
- 5.3.1 Governing body and top management
- 5.3.2 Compliance function
- 5.3.3 Management
- 5.3.4 Personnel
- 6.1 Actions to address risks and opportunities
- 6.2 Compliance objectives and planning to achieve them
- 6.3 Planning of changes
- 7.1 Resources
- 7.2 Competence [Go to Page]
- 7.2.1 General
- 7.2.2 Employment process
- 7.2.3 Training
- 7.3 Awareness
- 7.4 Communication
- 7.5 Documented information [Go to Page]
- 7.5.1 General
- 7.5.2 Creating and updating documented information
- 7.5.3 Control of documented information
- 8.1 Operational planning and control
- 8.2 Establishing controls and procedures
- 8.3 Raising concerns
- 8.4 Investigation processes
- 9.1 Monitoring, measurement, analysis and evaluation [Go to Page]
- 9.1.1 General
- 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 [Go to Page]
- 9.2.1 General
- 9.2.2 Internal audit programme
- 9.3 Management review [Go to Page]
- 9.3.1 General
- 9.3.2 Management review inputs
- 9.3.3 Management review results
- 10.1 Continual improvement
- 10.2 Nonconformity and corrective action [Go to Page]
- 4.5.2 Maintenance of compliance obligations
- 4.6 Identification, analysis and evaluation of compliance risks
- 5.2 Compliance policy [Go to Page]
- 5.2.1 General
- 5.2.2 Development
- 5.3 Organizational roles, responsibilities and authorities [Go to Page]
- 5.3.1 General
- 5.3.2 Assigning responsibility for compliance in the organization
- 5.3.3 Governing body and top management role and responsibility
- 5.3.4 Compliance function
- 5.3.5 Management responsibilities
- 5.3.6 Employee responsibility
- 6.1 Actions to address compliance risks
- 6.2 Compliance objectives and planning to achieve them
- 7.1 Resources
- 7.2 Competence and training [Go to Page]
- 7.2.1 Competence
- 7.2.2 Training
- 7.3 Awareness [Go to Page]
- 7.3.1 General
- 7.3.2 Behaviour
- 7.3.2.1 General
- 7.3.2.2 Role of top management in encouraging compliance
- 7.3.2.3 Compliance culture
- 7.4 Communication [Go to Page]
- 7.4.1 General
- 7.4.2 Internal communication
- 7.4.3 External communication
- 7.5 Documented information [Go to Page]
- 7.5.1 General
- 7.5.2 Creating and updating
- 7.5.3 Control of documented information
- 8.1 Operational planning and control
- 8.2 Establishing controls and procedures
- 8.3 Outsourced processes
- 9.1 Monitoring, measurement, analysis and evaluation [Go to Page]
- 9.1.1 General
- 9.1.2 Monitoring
- 9.1.3 Sources of feedback on compliance performance
- 9.1.4 Methods of information collection
- 9.1.5 Information analysis and classification
- 9.1.6 Development of indicators
- 9.1.7 Compliance reporting
- 9.1.8 Content of compliance reports
- 9.1.9 Record-keeping
- 9.2 Audit
- 9.3 Management review
- 10.1 Nonconformity, noncompliance and corrective action [Go to Page]
- 10.1.1 General
- 10.1.2 Escalation
- 10.2 Continual improvement
- Bibliography
- Tracked_Changes_Cover_Markup_new.pdf [Go to Page]
- compares BS ISO 19600:2014 [Go to Page]
- TRACKED CHANGES
- Text example 1 — indicates added text (in green)
- 30386816-WEB.pdf [Go to Page]
- National foreword
- Foreword
- Introduction
- 1 Scope
- 2 Normative references
- 3 Terms and definitions
- 4 Context of the organization [Go to Page]
- 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
- 4.4 Compliance management system
- 4.5 Compliance obligations
- 4.6 Compliance risk assessment
- 5 Leadership [Go to Page]
- 5.1 Leadership and commitment [Go to Page]
- 5.1.1 Governing body and top management
- 5.1.2 Compliance culture
- 5.1.3 Compliance governance
- 5.2 Compliance policy
- 5.3 Roles, responsibilities and authorities [Go to Page]
- 5.3.1 Governing body and top management
- 5.3.2 Compliance function
- 5.3.3 Management
- 5.3.4 Personnel
- 6 Planning [Go to Page]
- 6.1 Actions to address risks and opportunities
- 6.2 Compliance objectives and planning to achieve them
- 6.3 Planning of changes
- 7 Support [Go to Page]
- 7.1 Resources
- 7.2 Competence [Go to Page]
- 7.2.1 General
- 7.2.2 Employment process
- 7.2.3 Training
- 7.3 Awareness
- 7.4 Communication
- 7.5 Documented information [Go to Page]
- 7.5.1 General
- 7.5.2 Creating and updating documented information
- 7.5.3 Control of documented information
- 8 Operation [Go to Page]
- 8.1 Operational planning and control
- 8.2 Establishing controls and procedures
- 8.3 Raising concerns
- 8.4 Investigation processes
- 9 Performance evaluation [Go to Page]
- 9.1 Monitoring, measurement, analysis and evaluation [Go to Page]
- 9.1.1 General
- 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 [Go to Page]
- 9.2.1 General
- 9.2.2 Internal audit programme
- 9.3 Management review [Go to Page]
- 9.3.1 General
- 9.3.2 Management review inputs
- 9.3.3 Management review results
- 10 Improvement [Go to Page]
- 10.1 Continual improvement
- 10.2 Nonconformity and corrective action
- Annex A (informative) Guidance for the use of this document
- Bibliography [Go to Page]