What evidence do auditors commonly ask for on 9.3.1 General?

Review schedule and completed review records at the planned interval; Attendance list showing top management participation; Explicit conclusion on continuing suitability, adequacy and effectiveness.

What is the most common gap auditors find on 9.3.1?

Interval slips repeatedly without escalation

ISO 22301:2019 · Performance evaluation, ISO 22301:2019

`9.3.1` General

At planned intervals, top management must review the organization's BCMS to make sure it is still suitable, adequate and effective.

Source: ISO 22301:2019, 9.3.1. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open ISO 22301:2019 in the compliance library.

artefacts

held by a system

at each review

hard

to go live

Policy repository / GRC workspace

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

none for this control

periodic reviewEvidence produced at each review

Review schedule and completed review records at the planned interval · Policy repository / GRC workspace

governing documentDocuments that govern the control

Attendance list showing top management participation · HR system / LMS
Explicit conclusion on continuing suitability, adequacy and effectiveness · Policy repository / GRC workspace

First move

No system holds this evidence for you: it is people and documents. Reminders and routing to the owner still save time. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date.

Common gaps auditors find

Interval slips repeatedly without escalation
Reviews held but reaching no stated conclusion on suitability, adequacy and effectiveness
Top management represented by a delegate with no decision authority

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

9.3 Management review · 9.3.2 Management review input