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Module 6 of 7 · ISO 37301 · Clause 9

Performance evaluation

This clause forces a check that the compliance system actually works: internal audits and a periodic review with real data.

Content reviewed on

Monitoring and measurement

Compliance indicators: reports received and resolved, training completed, incidents detected.

Internal audit

An internal audit programme for the compliance system with defined criteria and scope.

Management review

A periodic review with specific inputs: reports, audit results, regulatory changes and control effectiveness.

What an auditor usually asks for

  • Up-to-date compliance indicators
  • A completed internal compliance audit programme
  • Management review minutes with the specific inputs
  • Evidence that review decisions are carried out

How to cover performance evaluation in Kimobox

  1. 1Set up compliance indicators to calculate themselves from the system's records.
  2. 2Plan internal compliance audits from the audit module.
  3. 3Prepare management review with compliance data already aggregated.

Compliance indicators stop depending on a manual report before every review.

See audits and indicators in the quality portal

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.

  1. ISO 37301:2021 — Compliance management systems. Requirements with guidance for use ISO · April 2021
  2. Ley 2/2023 on the protection of persons who report regulatory breaches BOE-A-2023-4513 · 21 February 2023
  3. ISO 37001:2016 — Anti-bribery management systems ISO · 2016 ed.
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