Proper documentation is the backbone of any effective compliance management system. ISO 37301, the international standard for compliance management systems, highlights the need for robust documentation control to support transparency, consistency, and accountability. In this blog, we explore why documentation control is essential and how organizations can align with ISO 37301 requirements.
What is Documentation Control?
Documentation control refers to the systematic management of documents to ensure they are accurate, up to date, secure, and accessible to those who need them. In the context of ISO 37301, this includes policies, procedures, records, training materials, audit reports, and other compliance-related documents.
ISO 37301 Requirements on Documentation
ISO 37301 requires organizations to:
• Maintain documented information necessary for the effective operation of the compliance management system.
• Ensure documents are reviewed and approved for adequacy before use.
• Control the distribution, access, retrieval, and use of documented information.
• Protect records to preserve integrity, confidentiality, and availability.
• Retain documented information for as long as it is required to demonstrate compliance.
Why Documentation Control Matters
1. Evidence of Compliance: Proper documentation demonstrates that compliance activities are planned, executed, and reviewed.
2. Operational Consistency: Clear and controlled documents ensure that employees follow standardized procedures.
3. Audit Readiness: Accurate and accessible records simplify internal and external audits.
4. Risk Management: Controlled documentation helps identify and address compliance gaps and inconsistencies.
5. Business Continuity: Reliable documentation ensures continuity during personnel changes or disruptions.
Best Practices for Documentation Control
• Use a centralized document management system.
• Establish version control and document approval workflows.
• Define clear roles and responsibilities for document creation and maintenance.
• Regularly review and update documents to reflect changes in laws, regulations, or internal processes.
• Train staff on how to access and use controlled documents appropriately.
Conclusion
Documentation control is a foundational aspect of ISO 37301 compliance. It supports the integrity and effectiveness of the compliance management system and provides the transparency needed for accountability. By implementing strong documentation control practices, organizations can meet regulatory requirements, streamline operations, and foster a culture of compliance.
For further information and to book your ISO37301compliance management systems survey please contact: Marcus J Allen at Thamer James Ltd. Email: [email protected]
Marcus has twenty years’ experience in delivering Governance, Risk and Compliance solutions to over two hundred organisations within the UK. Marcus holds the respected Diploma in Governance, Risk and Compliance from the International Compliance Association and holds a master’s degree in Management Learning & Change from the University of Bristol.
Marcus is a member of BSI G01 Governance Committee, this committee contributed to the formulation of the above Standard, in the UK.