Standard
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AS ISO 19600:2015
[Superseded]Compliance management systems — Guidelines
Adopts ISO 19600:2014 to provide guidance for establishing, developing, implementing, evaluating, maintaining and improving an effective and responsive compliance management system within an organization.
Published: 22/06/2015
Pages: 28
Table of contents
Cited references
Content history
Table of contents
Header
About this publication
Preface
Introduction
1 Scope
2 Normative references
3 Terms and definition
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
4.4 Compliance management system and principles of good governance
4.5 Compliance obligations
4.5.1 Identification of compliance obligations
4.5.2 Maintenance of compliance obligations
4.6 Identification, analysis and evaluation of compliance risks
5 Leadership
5.1 Leadership and commitment
5.2 Compliance policy
5.2.1 General
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
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 Planning
6.1 Actions to address compliance risks
6.2 Compliance objectives and planning to achieve them
7 Support
7.1 Resources
7.2 Competence and training
7.2.1 Competence
7.2.2 Training
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
7.3.2.3 Compliance culture
7.4 Communication
7.4.1 General
7.4.2 Internal communication
7.4.3 External communication
7.5 Documented information
7.5.1 General
7.5.2 Creating and updating
7.5.3 Control of documented information
8 Operation
8.1 Operational planning and control
8.2 Establishing controls and procedures
8.3 Outsourced processes
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
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 Improvement
10.1 Nonconformity, noncompliance and corrective action
10.1.1 General
10.1.2 Escalation
10.2 Continual improvement
Bibliography
Cited references in this standard
Content history
[Current]
[Superseded]
[Superseded]
DR AS/NZS ISO 19600:2015
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