ISO/DIS 37302

SLOVENSKI STANDARD
01-oktober-2024
Sistemi za upravljanje skladnosti - Smernice za vrednotenje učinkovitosti
Compliance management systems - Guidelines for the evaluation of effectiveness
Systèmes de management de la conformité — Lignes directrices pour l'évaluation de
l'efficacité
Ta slovenski standard je istoveten z: ISO/DIS 37302
ICS:
03.100.01 Organizacija in vodenje Company organization and
podjetja na splošno management in general
03.100.02 Upravljanje in etika Governance and ethics
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

DRAFT
International
Standard
ISO/DIS 37302
ISO/TC 309
Compliance management
Secretariat: BSI
systems — Guidelines for the
Voting begins on:
evaluation of effectiveness
2024-06-04
ICS: 03.100.01; 03.100.02
Voting terminates on:
2024-08-27
THIS DOCUMENT IS A DRAFT CIRCULATED
FOR COMMENTS AND APPROVAL. IT
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Reference number
DRAFT
International
Standard
ISO/DIS 37302
ISO/TC 309
Compliance management
Secretariat: BSI
systems — Guidelines for the
Voting begins on:
evaluation of effectiveness
ICS: 03.100.01; 03.100.02
Voting terminates on:
THIS DOCUMENT IS A DRAFT CIRCULATED
FOR COMMENTS AND APPROVAL. IT
IS THEREFORE SUBJECT TO CHANGE
AND MAY NOT BE REFERRED TO AS AN
INTERNATIONAL STANDARD UNTIL
PUBLISHED AS SUCH.
IN ADDITION TO THEIR EVALUATION AS
BEING ACCEPTABLE FOR INDUSTRIAL,
© ISO 2024
TECHNOLOGICAL, COMMERCIAL AND
USER PURPOSES, DRAFT INTERNATIONAL
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
STANDARDS MAY ON OCCASION HAVE TO
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
This document is circulated as received from the committee secretariat. BE CONSIDERED IN THE LIGHT OF THEIR
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
POTENTIAL TO BECOME STANDARDS TO
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Published in Switzerland Reference number
ii
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 General Principles . 2
5 Evaluation methodology . 2
5.1 General .2
5.2 Evaluation scales .2
5.3 Evaluation indicator framework .3
6 Evaluation criteria . 4
6.1 Planning and establishing of the compliance management system.4
6.1.1 Analysis of the context of the organization, including requirements of interested
parties .4
6.1.2 Identification and update of compliance obligations .6
6.1.3 Determination of scope of the compliance management system and assessment
of compliance risk .7
6.1.4 Leadership and commitment of governing body and top management.9
6.1.5 Implementation of compliance governance principles .10
6.1.6 Maintenance and promotion of compliance culture . 12
6.1.7 Assignment of the roles, responsibilities, and authorities for personnel in
different levels . 13
6.1.8 Compliance policy and setting of objectives . . 15
6.1.9 Planning of actions to address risk and opportunity and the resources required .17
6.2 Implementation of the planned compliance management system .18
6.2.1 Operational actions to address risk and opportunity .18
6.2.2 Allocation of resources .19
6.2.3 Competences, capacity building and raising awareness . 20
6.2.4 Employment process, rewards, and disciplinary actions .21
6.2.5 Training . 22
6.2.6 Internal and external communication . 23
6.2.7 Establishment of a mechanism for raising concern .24
6.2.8 Implementation of investigation mechanism . 25
6.2.9 Management of documented information . 26
6.3 Evaluating performance and improvement of the compliance management system .27
6.3.1 Monitoring, measurement, and analysis of performance .27
6.3.2 Internal audit . 28
6.3.3 Management review . 29
6.3.4 Actions to address nonconformity and/or noncompliance and correction . 30
6.3.5 Continual improvement in a planned manner .31
7 Evaluation process .32
7.1 Objectives .32
7.2 Structured approach .32
7.3 Evaluators . 33
7.4 Evaluation Method . 33
7.4.1 Design . 33
7.4.2 Implementation . 33
7.4.3 Reporting and response . . 34
Annex A (informative) Figure of the evaluation indicator framework .35
Bibliography .36

iii
Foreword
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This document was prepared by Technical Committee ISO/TC 309, Governance of Organizations.
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ISO/DIS 3730
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