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ISO19600-2014合规管理体系 指南(中英文对照).pdf 64页

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《ISO19600-2014合规管理体系 指南(中英文对照).pdf》《ISO19600-2014合规管理体系 指南(中英文对照).pdf》缩略图
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INTERNATIONAL ISO STANDARD 19600 First edition 2014-12-15 Compliance management systems — Guidelines Systèmes de management de la conformité — Lignes directrices Reference number ISO 19600:2014(E) © ISO 2014 ISO 19600:2014(E) ISO 19600:2014(E) Contents Page Foreword iv Introductionv 1 Scope 1 2 Normative references 1 3 Terms and definition 1 4 Context of the organization 5 4.1 Understanding the organization and its context 5 4.2 Understanding the needs and expectations of interested parties 5 4.3 Determining the scope of the compliance management system 5 4.4 Compliance management system and principles of good governance 6 4.5 Compliance obligations 6 4.6 Identification, analysis and evaluation of compliance risks 7 5 Leadership 8 5.1 Leadership and commitment 8 5.2 Compliance policy 9 5.3 Organizational roles, responsibilities and authorities 10 6 Planning 13 6.1 Actions to address compliance risks 13 6.2 Compliance objectives and planning to achieve them 14 7 Support 14 7.1 Resources 14 7.2 Competence and training 14 7.3 Awareness 16 7.4 Communication 17 7.5 Documented information 18 8 Operation 19 8.1 Operational planning and control 19 8.2 Establishing controls and procedures 19 8.3 Outsourced processes 20 9 Performance evaluation 21 9.1 Monitoring, measurement, analysis and evaluation 21 9.2 Audit 25 9.3 Management review 25 10 Improvement 26 10.1 Nonconformity, noncompliance and corrective action 26 10.2 Continual improvement 27 Bibliography 28 iii ISO 19600:2014(E) Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see /directives). Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see /patents). Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement. For an explanation on the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISO’s adherence to the WTO principles in the Technical Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information The committee responsible for this document is Project Committee ISO/PC 271, Compliance management systems. ISO 19600:2014(E) Introduction Organizations that aim to be successful in the long term need to maintain a culture of integrity and compliance, and to consider the needs and expectations of stakeholders. Integrity and compliance are therefore not only the basis, but also an opportunity, for a successful and sustainable organization. Compliance is an outcome of an organization meeting its obligations, and is made sustainable by embedding it in the culture of the organization and in the behaviour and attitude of people working for it. While maintaining its independence, it is preferable if compliance management is integrated with the organization’s financial, risk, quality, environmental and health and safety management processes and its operational requirements and procedures. An effective, organization-wide compliance management system enables an organization to demonstrate its commitment to compliance with relevant laws, including legislative requirements, industry codes and organizational standards, as well as standards of good corporate governance, best practices, ethics and community expectations. An organization’s approach to compliance is ideally shaped by the leadership applying core values and generally accepted corporate governance, ethical and community standards. Embedding compliance in the behaviour of the people working for an organization depends above all on leadership at all levels and clear values of an organization, as well as an acknowledgement and implementation of measures to promote compliant behaviour. If this is not the case at all levels of an organization, there is a risk of noncompliance. In a number of jurisdictions, the courts have considered an organization’s commitment to compliance through its compliance management system when determining the appropriate penalty to be imposed for contraventions of relevant laws. Therefore, regulatory and judicial bodies can also benefit from this International Standard as a benchmark. Organizations are increasingly convinced that by applying binding values and appropriate compliance management, they can safeguard their integrity and avoid or minimize noncompliance with the law. Integrity and effective compliance are therefore key elements of good, diligent management. Compliance also contributes to the socially responsible behaviour of organizations. This International Standard does not specify requirements, but provides guidance on compliance management systems and recommended practices. The guidance in this International Standard is intended to be adaptable, and the use of this guidance can differ depending on the size and level of maturity of an organization’s compliance management system and on the context, nature and complexity of the organization’s activities, including its compliance policy and objectives. The flowchart in Figure 1 is consistent with other management systems and is based on the continual improvement principle (“Plan-Do-Check-Act”). v ISO 19600:2014(E) Figure 1 — Flowchart of a compliance management system This International Standard has adopted the “high-level structure” (i.e. clause sequence, common text and common terminology) developed by ISO to improve alignment among its International Standards for management systems. In addition to its generic guidance on a compliance management system, this International Standard also provides a framework to assist in the implementation of specific compliance- related requirements in any management system. Organizations that have not adopted management system standards or a compliance management framework can easily adopt this International Standard as stand-alone guidance within their organization. This International Standard is suitable to enhance the compliance-related requirements in other management systems and to assist an organization in improving the overall management of all its compliance obligations. This International Standard can be combined with existing management system standards (e.g. ISO 9001, ISO 14001, ISO 22000) and generic guidelines (e.g. ISO 31000, ISO 26000). vi INTERNATIONAL STANDARD ISO 19600:2014(E) Compliance management systems — Guidelines 1 Scope This International Standard provides guidance for establishing, developing, implementing, evaluating, maintaining and improving an effective and responsive compliance management system within an organization. The guidelines on compliance management systems are applicable to all types of organizations. The extent of the application of these guidelines depends on the size, structure, nature and complexity of the organization. This International Standard is based on the principles of good governance, proportionality, transparency and sustainability. 2 Normative references There are no normative references. 3 Terms and definition For the purpose of this document, the following terms and definitions apply. 3.1 organization person or group of people that has its own functions with responsibilities, authorities and relationships to achieve its objectives (3.9) Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation, firm, enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated or not, public or private. 3.2 interested party (preferred term) stakeholder (admitted term) person or organization (3.1) that can affect, be affected by, or perceive themselves to be affected by a decision or activity 3.3 top management person or group of people who directs and controls an organization (3.1) at the highest level Note 1 to entry: Top management has the power to delegate authority and provide resources within the organization. Note 2 to entry: If the scope of the management system ( 3.7) covers only part of an organization then top management refers to those who direct and control that part of the organization. 3.4 governing body person or group of people that governs an organization (3.1), sets directions and holds top management (3.3) to account 3.5 employee individual in a relationship recognized as an employment relationship in national law or practice 1 ISO 19600:2014(E) 3.6 compliance function person(s) with responsibility for compliance (3.17) management Note 1 to entry: Preferably one individual will be assigned overall responsibility for compliance ( 3.17) management 3.7 management system set of interrelated or interacting elements of an organization (3.1) to establish policies (3.8) and objectives (3.9) and processes (3.10) to achieve those objectives Note 1 to entry: A management system can address a single discipline or several disciplines. Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning, operation, etc. Note 3 to entry: The scope of a management system may include the whole of the organization, specific and identified functions of the organization, specific and identified sections of the organization, or one or more functions across a group of organizations. 3.8 policy intentions and direction of an organization (3.1) as formally expressed by its top management (3.7) 3.9 objective result to be achieved Note 1 to entry: An objective can be strategic, tactical and/or operational. Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and environmental goals) and can apply at different levels (such as strategic, organization-wide, project, product and process ( 3.10)). Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an operational criterion, as a compliance objective or by the use of other words with similar meaning (e.g. aim, goal, or target). Note 4 to entry: In the context of compliance management systems, compliance objectives are set by the organization, consistent with the compliance policy, to achieve specific results. 3.10 process set of interrelated or interacting activities which transforms inputs into outputs 3.11 risk effect of uncertainty on objectives (3.9) Note 1 to entry: An effect is a deviation from the expected — positive or negative. Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or knowledge of, an event, its consequence, or likelihood. Note ntry: is often characterized by reference to potential “events” (as defined in ISO e 2009, 3 to e Risk Guid 73: ) and “consequences” (as defined in ISO Guide 73:2009, ), or a combination of these. Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including changes in circumstances) and the associated “likelihood” (as defined in ISO Guide 73:2009, ) of occurrence. 3.12 compliance risk effect of uncertainty on compliance objectives (3.9) Note 1 to entry: Compliance risk can be characterized by the likelihood of occurrence and the consequences of noncompliance ( 3.18) with the organization’s compliance obligations ( 3.16). 2 ISO 19600:2014(E) 3.13 requirement need or expectation that is stated, generally implied or obligatory Note 1 to entry: “Generally implied” means that it is custom or common practice for the organization and interested parties that the need or expectation under consideration is implied. Note 2 to entry: A specified requirement is one that is stated, for example in documented information. 3.14 compliance requirement requirement (3.13) that an organization (3.1) has to comply with 3.15 compliance commitment requirement (3.13) that an organization (3.1) chooses to comply with 3.16 compliance obligation compliance requirement (3.14) or compliance commitment (3.15) 3.17 compliance meeting all the organization’s compliance obligations (3.16) Note 1 to entry: Compliance is made sustained by embedding it in the culture of an organization ( 3.1) and in the behaviour and attitude of people working for it. 3.18 noncompliance non-fulfilment of a compliance obligation (3.16) Note 1 to entry: Noncompliance can be a single or a multiple event and may or may not be the result of a nonconformity ( 3.33). 3.19 compliance culture values, ethics and beliefs that exist throughout an organization ( 3.1) and interact with the organization’s structures and control systems to produce behavioural norms that are conducive to compliance ( 3.17) outcomes 3.20 code statement of practice developed internally or by an international, national or industry body or other organization (3.1) Note 1 to entry: The code may be mandatory or voluntary. 3.21 organizational and industry standards documented codes (3.20), good practices, charters , technical and industry standards deemed by an organization (3.1) to be relevant 3.22 regulatory authority organization (3.1) responsible for regulating or enforcing compliance (3.17) with legislative and other requirements (3.13) 3.23 competence ability to apply knowledge and skills to achieve intended results 3 ISO 19600:2014(E) 3.24 documented information information required to be controlled and maintained by an organization (3.1) and the medium on which it is contained Note 1 to entry: Documented information can be in any format and media and from any source. Note 2 to entry: Documented information can refer to: — the management system
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