ISO 19600, ''Compliance management systems - Guidelines'', is a compliance standard introduced by the

International Organization for Standardization The International Organization for Standardization (ISO ) is an international standard development organization composed of representatives from the national standards organizations of member countries. Membership requirements are given in Ar ...

(ISO) in April 2014. As its title suggests, it operates as an advisory standard and is not used for accreditation or certification. This standard was developed by ISO Project Committee ISO/PC 271, which was chaired by Martin Tolar. In recent times technical committee ISO/TC 309 has been created and the maintenance and future development of ISO 19600 will be undertaken by members of this committee. Currently, ISO/TC 309 is in the process of developing ISO/DIS 3730

which is expected to replace ISO 19600. The main difference between these two standards is that, when published, ISO 37301 will establish requirements for the implementation of a compliance management system, as opposed to USO 19600 which only provides recommendations. This means that in the future, organizations can have their compliance management system (CMS) verified through an independent third part

Origins

Standards Australia Standards Australia is a standards organisation established in 1922 and is recognised through a Memorandum of Understanding (MoU) with the Australian government as the primary non-government standards development body in Australia. It is a co ...

proposed a new ISO standard, based on the existing Australian standard "''

AS 3806 As, AS, A. S., A/S or similar may refer to: Art, entertainment, and media * A. S. Byatt (born 1936), English critic, novelist, poet and short story writer * "As" (song), by Stevie Wonder * , a Spanish sports newspaper * , an academic male voic ...

- Compliance Programs''", which was issued in 1998 and updated in 2006. The handbook to accompany AS 3806 was developed by a working group of the Australasian Compliance Institute members. This standard is more widely used in the financial industry, being endorsed by

Australian Prudential Regulation Authority The Australian Prudential Regulation Authority (APRA) is a statutory authority of the Australian Government and the prudential regulator of the Australian financial services industry. APRA was established on 1 July 1998 in response to the recomm ...

and the

Australian Securities & Investments Commission The Australian Securities and Investments Commission (ASIC) is an independent commission of the Australian Government tasked as the national corporate regulator. ASIC's role is to regulate company and financial services and enforce laws to pro ...

. The published version of ISO 19600:2014 is similar to AS 3806:2006 standard, and will replace it. The draft stage of ISO 19600 was completed in April 2014; the final version was published on 5 December 2014.

Main requirements of the standard

The ISO 19600:2014 adopts the "ISO High Level Structure (HSL)" in 10 main clauses in the following breakdow

* 1 Scope * 2 Normative references * 3 Terms and definitions * 4 Context of the organization * 5 Leadership * 6 Planning * 7 Support * 8 Operation * 9 Performance Evaluation * 10 Improvement

Structure of the standard

ISO 19600 helps organizations establish, develop, evaluate, and maintain a compliance management system. It brings together separate standards of

compliance management Compliance can mean: Healthcare * Compliance (medicine), a patient's (or doctor's) adherence to a recommended course of treatment * Compliance (physiology), the tendency of a hollow organ to resist recoil toward its original dimensions (this is a ...

and risk management, and its processes align very closely with

ISO 31000 ISO 31000 is a family of standards relating to risk management codified by the International Organization for Standardization. ISO 31000:2018 provides principles and generic guidelines on managing risks that could be negative faced by organizatio ...

, another risk management standard. Many existing compliance standards focus on one specific regulatory requirement or topic area; ISO 19600 aims to unify these, so organizations can work within a single framework rather than several different ones focussing on different standards. Unlike PS 980, ISO does not mandate any specific auditing requirements. ISO 19600 is "based on the principles of good governance, proportionality, transparency and sustainability". Like other related ISO standards, it emphasises the use of a

Plan, Do, Check, Act PDCA (plan–do–check–act or plan–do–check–adjust) is an iterative design and management method used in business for the control and continual improvement of processes and products. It is also known as the Shewhart cycle, or the control ...

(PDCA) cycle.

History

References

External links