ISO 37301:2021 Compliance Management Toolkit
ISO 37301:2021 Compliance Management Toolkit
Know every obligation the organisation is bound by, who owns it, and how a breach would come to light.
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Read the guide: ISO 37301: Building a Compliance Management System That Works
By document type
| Category | Files |
|---|---|
| Manuals | 2 |
| Policies | 1 |
| Procedures & SOPs | 10 |
| Forms & Records | 22 |
| Checklists & Audit Tools | 3 |
| Registers, Logs & Matrices | 3 |
| Training & Awareness | 4 |
| Guides & Work Instructions | 1 |
Key documents
| Reference | Document | Format |
|---|---|---|
| CMS-01 | Compliance Management System Manual | Word |
| Compliance Policy | Word | |
| PRO-SYS-10 | Procedure for Compliance Risk Management | Word |
| PRO-SYS-06 | Procedure for Compliance with Legal & Other Requirements | Word |
| PRO-SYS-07 | Procedure for Raising Concerns (Grievance) | Word |
| F SYS 15 | Legal Tracker Sheet | Word |
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Overview
ISO 37301:2021 sets out requirements and guidelines for establishing, implementing, evaluating, maintaining and improving a compliance management system. Compliance obligations, in its terms, are both mandatory — laws and regulations — and voluntary: codes of conduct, contractual commitments, standards and the organisation's own values. It applies across all types, sizes and sectors, public, private and not-for-profit, and concerns boards, senior management, compliance and legal functions, risk teams and all personnel with compliance duties. It supersedes ISO 19600 and, as a type A management system standard, contains auditable requirements.
The structure is the harmonised one — context, leadership, planning, support, operation, performance evaluation and improvement — driven by Plan-Do-Check-Act and grounded in good governance, integrity, transparency, accountability and sustainability. The standard asks an organisation to identify and assess its obligations and compliance risks, set a policy supported by top management and a defined compliance function, put controls in place, train and communicate, provide routes for raising concerns and whistleblowing, investigate what is reported, then monitor and improve. The risk-based approach aligns with ISO 31000, the system integrates with ISO 9001, ISO 37001 for anti-bribery and ISO 27001, and accredited certification is open to those wanting independent assurance.
What this system covers
- Compliance obligations — a maintained register of applicable rules, and tracking of legal change
- Compliance risk management — assessing obligations by likelihood and consequence, assigning controls
- Policy, governance and culture — the compliance function, management commitment, code of conduct
- Raising concerns and whistleblowing — reporting routes, protection of the reporter, case handling
- Incident management and investigation — recording and remedying suspected non-compliance
- Training, communication and competence — awareness for all personnel and role-specific duties
- Evaluation and improvement — clause-wise review, internal audit and corrective action
Who it's for
Compliance officers, general counsel, company secretaries and governance managers in regulated and multi-jurisdiction organisations. The purchase tends to follow a decision to certify, a regulator's enquiry, a parent company requiring a documented compliance management system, or the move on from ISO 19600. The end state is a maintained register of rules and regulations, risks assessed and owned by name, working channels for concerns, and audit records showing the system operates rather than merely exists.
Everything you get
Every toolkit gives you a full set of working documents for your standard, ready to edit and use.
Native Microsoft files. Add your logo and adapt every document to how you work.
Your full toolkit arrives as a ZIP the moment payment clears.
Any of your staff, at any of your own sites. No per-seat fees.
Sector specialists author each toolkit. A principal reviewer with more than twenty years reviews it.
One payment, perpetual licence for your organisation. No subscriptions, no renewals.
If a document is wrong, missing or not as described, tell us within 14 days. We fix it or refund you.
Frequently asked questions
What exactly do I receive?
A downloadable ZIP containing the full set of ready-to-use documents for this toolkit — manuals, procedures, forms, records, checklists, guidance and training material, all in editable Word and Excel format. The exact document count is shown at the top of this page.
Are the documents really editable?
Yes. Every file is native Microsoft Word or Excel — no locked PDFs. Add your logo, change wording, and tailor the content to your organisation. The toolkit is yours to keep and reuse.
Does this certify my organisation?
No. These are documentation toolkits aligned to the relevant standard to help you prepare. Certification itself is issued by an accredited certification body after their audit. Our toolkits give you a strong, audit-ready starting point.
How is it delivered?
Instantly and digitally. There's no physical shipment — you download the files right after payment and receive a backup link by email.
Do I get updates?
Yes, for 12 months. Fixes and revisions to this toolkit are free for 12 months from your order. Email us with your order number to get them.
What is your refund policy?
If a document is wrong, missing or not as described, tell us within 14 days of your order. We fix it or refund you. If you have not downloaded yet, we can cancel the order and refund you in full. We don't refund a change of mind after download. See the Refund policy.
Cannot find your standard?
Tell us which scheme you work to. We will point you to the right toolkit.
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