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Course Outline

Introduction to ISO 37301 and Compliance Management

  • Overview of ISO 37301 and its primary objectives.
  • Core compliance principles: integrity, accountability, and transparency.
  • Key differences between ISO 19600 and ISO 37301.

Organizational Context and Leadership

  • Analyzing the internal and external context of the organization.
  • The role and responsibilities of top management.
  • Establishing a compliance policy and defining objectives.

Planning and Support Functions

  • Assessing compliance risks and developing mitigation strategies.
  • Addressing competence, awareness, and communication requirements.
  • Documentation and resource needs for the CMS.

Operational Controls and Compliance Processes

  • Defining operational procedures and assigning responsibilities.
  • Considering compliance implications for outsourcing and third parties.
  • Documenting compliance obligations and controls.

Monitoring, Evaluation, and Reporting

  • Measuring compliance performance using Key Performance Indicators (KPIs).
  • Conducting internal audits and compliance assessments.
  • Managing compliance reporting and escalation processes.

Management Review and Continuous Improvement

  • Reviewing system performance and incorporating leadership feedback.
  • Addressing non-compliance issues and implementing corrective actions.
  • Ensuring ongoing improvement of the CMS.

Certification, Integration, and Future Readiness

  • Steps for achieving ISO 37301 certification and undergoing third-party audits.
  • Integrating with ISO 37001, ISO 9001, or ISO 27001 standards.
  • Exploring emerging compliance trends and digital governance.

Summary and Next Steps

Requirements

  • A foundational understanding of compliance and risk-related concepts.
  • Familiarity with management system standards.
  • Experience within regulatory, legal, or internal control functions.

Audience

  • Compliance officers and internal control managers.
  • Auditors, legal advisors, and risk professionals.
  • Senior managers and governance leaders aiming to ensure compliance integrity.
 14 Hours

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