XXX is committed to managing its legal and contractual compliance obligations in a proactive, ongoing, and responsible manner. It is committed to not only identifying the legislation which it is obliged to comply with but also measuring the levels of compliance in the organization. A Legal and Contractual Compliance Programme is a system for identifying and monitoring compliance with legislation and contractual agreements. It also attempts to raise employee awareness of legal and contractual obligations and aims to embed a compliance culture within the organization.
2. Purpose
This policy provides guidance to prevent breaches of any criminal and civil law, statutory, regulatory, or contractual obligations.
3. Scope
3.1 Employees
his policy applies to all Employees, Contractors, and Third Party Employees, who use, process, and manage information and business processes of XXX.
3.2 Documentation
The documentation shall consist of Compliance Policy, and related procedures & guidelines. The Compliance Policy document and all other referenced documents shall be controlled. Version control shall be to preserve the latest release and the previous version of any document. However, the previous version of the documents shall be retained only for a period of two years for legal and knowledge preservation purposes.
3.3 Records
Records being generated as part of the Compliance Policy shall be retained for a period of two years. Records shall be in hard copy or electronic media. The records shall be owned by the respective system administrators and shall be audited once a year.
3.4 Distribution and Maintenance
The Compliance Policy document shall be made available to all the employees covered in the scope. All the changes and new releases of this document shall be made available to the persons concerned. The maintenance responsibility of the document shall be with the CISO and system administrators.
4. Privacy
The Compliance Policy document shall be considered as “confidential” and shall be made available to the concerned persons with proper access control. Subsequent changes and versions of this document shall be controlled.
5. Responsibility
The Compliance Policy shall be implemented by the CISO / designated personnel and Compliance Officer (if any).
6 Policy
The organization shall explicitly define and document its approach to meet all legal, regulatory, and contractual requirements. Issues of data protection, restrictions on the use of specific technology, compliance with security policies and standards must be defined and documented. Legal advice shall be sought and all above-mentioned documents shall be kept up to date.
7 Enforcement
Any employee found to have violated this policy may be subjected to disciplinary action in line with the HR Policy.
If you need assistance or have any doubt and need to ask any questions contact me at preteshbiswas@gmail.com. You can also contribute to this discussion and I shall be happy to publish them. Your comments and suggestion are also welcome.
Pretesh Biswas has wealth of qualifications and experience in providing results-oriented solutions for your system development, training or auditing needs. He has helped dozens of organizations in implementing effective management systems to a number of standards. He provide a unique blend of specialized knowledge, experience, tools and interactive skills to help you develop systems that not only get certified, but also contribute to the bottom line. He has taught literally hundreds of students over the past 5 years. He has experience in training at hundreds of organizations in several industry sectors. His training is unique in that which can be customized as to your management system and activities and deliver them at your facility. This greatly accelerates the learning curve and application of the knowledge acquired. He is now ex-Certification body lead auditor now working as consultancy auditor. He has performed hundreds of audits in several industry sectors. As consultancy auditor, he not just report findings, but provide value-added service in recommending appropriate solutions.
Experience
Consultancy: He has helped over 100 clients in a wide variety of industries achieve ISO 9001,14001,27001,20000, OHSAS 18001 and TS 16949 certification. Industries include automotive, metal stamping and screw machine, fabrication, machining, assembly, Forging electrostatic and chrome plating, heat-treating, coatings, glass, plastic and rubber products, electrical and electronic equipment, assemblies & components, batteries, computer hardware and software, printing, placement and Security help, warehousing and distribution, repair facilities, consumer credit counseling agencies, banks, call centers, etc.
Training: He has delivered public and on-site quality management training to over 1000 students. Courses include ISO/TS -RAB approved Lead Auditor, Internal Auditing, Implementation, Documentation, as well as customized ISO/TS courses, PPAP, FMEA, APQP and Control Plans.
Auditing: He has conducted over 100 third party registration and surveillance audits and dozens of gap, internal and pre-assessment audits to ISO/QS/TS Standards, in the manufacturing and service sectors.
Other services: He has provided business planning, restructuring, asset management, systems and process streamlining services to a variety of manufacturing and service clients such as printing, plastics, automotive, transportation and custom brokerage, warehousing and distribution, electrical and electronics, trading, equipment leasing, etc.
Education & professional certification: Pretesh Biswas has held IRCA certified Lead Auditor for ISO 9001,14001 and 27001. He holds a Bachelor of Engineering degree in Mechanical Engineering and is a MBA in Systems and Marketing. Prior to becoming a business consultant 6 years ago, he has worked in several portfolios such as Marketing, operations, production, Quality and customer care. He is also certified in Six Sigma Black belt .
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