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ISO 37301 — Compliance management systems
ISO 37301's seven clauses, with the noncompliance risk map, the whistleblowing channel and case investigation explained clause by clause.
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- 1 Context of the organization How to identify compliance obligations and the system's interested parties. Clause 4
- 2 Leadership How to show management commitment and the independence of the compliance function. Clause 5
- 3 Planning How to assess noncompliance risks and set compliance objectives. Clause 6
- 4 Support How to manage compliance training and the whistleblowing channel. Clause 7
- 5 Operation How to apply compliance controls and manage third-party due diligence. Clause 8
- 6 Performance evaluation How to audit the compliance system and review its effectiveness. Clause 9
- 7 Improvement How to investigate reports and apply continual improvement to the compliance system. Clause 10
Every clause of ISO 37301, explained
ISO 37301 shares the same high-level structure (Annex SL) as ISO 9001, with its own emphasis on the independence of the compliance function and the whistleblowing channel.
This path explains each clause with the noncompliance risk map, third-party due diligence and the evidence a compliance auditor usually asks for.
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Sources
Where each figure comes from
References to the official text in force. If a standard is revised, this page is updated and the review date says so.
- ISO 37301:2021 — Compliance management systems. Requirements with guidance for use ISO · April 2021
- Ley 2/2023 on the protection of persons who report regulatory breaches BOE-A-2023-4513 · 21 February 2023
- ISO 37001:2016 — Anti-bribery management systems ISO · 2016 ed.