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 Establishing ISO 37301 M1221370 QR Code
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Establishing ISO 37301

Overview:

Introduction

Developed and published by the International Organization for Standardization in 2021, this standard provides guidance for establishing, developing, implementing, evaluating, maintaining, and improving an effective and responsive risk-based compliance management system within an organization. The guidelines on compliance management systems are applicable to all types of organizations. The extent of the application of these guidelines depends on the size, structure, nature, and complexity of the organization. ISO 37301 is based on the principles of good governance, proportionality, transparency, and sustainability.

Managing compliance goes beyond the mere satisfaction of legal requirements. Compliance is also related to meeting the needs and expectations of a wide range of stakeholders. Therefore, making sound choices and setting priorities appropriately is an important part of effective compliance management. The standard takes a risk-based approach to manage compliance. As a result, it aligns with ISO 31000 Risk Management – Principles and guidelines, which according to ISO, “provides principles, framework and a process for managing risk.” In conjunction with ISO Standard 31000 (Enterprise Risk Management), This standard is used to establish a formal enterprise-wide management system for Governance, Risk, and Compliance (GRC) that will effectively and measurably improve organizational performance. Since such a program is designed and operated to well-recognized international standards of best practices for GRC, the organization also achieves greater confidence and respect among stakeholders including investors, lenders, regulators, suppliers, customers, and trading partners just to name a few.

ISO 37301 integrates risk assessments, the risk management process, and compliance management. By following ISO risk management practices, organizations embed compliance within the risk-based process. This is an important characteristic of effective compliance management because it breaks down silos and allows the organization to focus on root-cause risks. This streamlines the compliance process, making it easier to meet the obligations of not only government entities, but the host organization’s own internal code of ethics and its social responsibility objectives.

 

Course Objectives:

At the end of this course, the participants will be able to:

  • Understand the principles and processes of compliance risk governance and management;
  • Get a thorough overview of the requirements of ISO 37301;
  • Get practical guidance on designing and implementing a suitable compliance management framework;
  • Establish a firm program starting point by using the 37301 standards to build out the initial Compliance Management core policy. Soft-copy editable templates are provided in the instructor-led class:
    • Complete 37301 Compliance Management System Policy 
    • Procedure for Training and Development Needs Analysis document 
    • Compliance Program project kick-off document 
  • Leverage ISO best practices to properly manage and monitor compliance requirements 
  • Leverage ISO best practices to implement controls to ensure compliance with stakeholder requirements
  • Establish compliance monitoring, communication, and reporting

Targeted Audience:

  • Organization Leadership
  • CEO / Managing Director / Chief Operations Officer
  • Chief Information Officer (CIO / CISO)
  • Compliance officers
  • ISO 27001 Information security manager
  • Designated GDPR Data Protection Officer (DPO)
  • ISO 9001 Quality managers
  • AS 9100 Quality managers
  • ISO 14001 EMS managers
  • ISO 22000 Food safety managers
  • Health, Safety, and Environment (HSE) Risk Manager (s)
  • Fraud control / security managers / investigators
  • Trade union negotiators and liaisons
  • Revenue protection managers
  • IT managers
  • Risk manager (s)
  • Business Continuity Manager (s)
  • Facilities manager
  • Operations auditors

Course Outlines:

Unit 1: Introduction to compliance management

  • Nature and impact of compliance
  • Principles of compliance
  • Review of ISO 37301
  • Achieving the benefits of Governance, Risk, and Compliance (GRC)

Unit 2: Compliance management architecture and strategy

  • Program leadership
  • Program planning and designing
  • Compliance context development
  • Creating a Compliance Policy and supporting documentation
    • Roles & responsibilities
    • Scope
  • Implementing and benchmarking
  • Measuring and monitoring
  • Improving and reporting

Unit 3: Compliance processes and controls (Protocol)

  • Operational planning and control
  • Establishing controls and procedures
  • Outsourced processes

Unit 4 and  5: Compliance monitoring, review, improvement, and accreditation

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