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AN Advice


Compliance Management

Compliance Management

What is ISO 37301 ?

 ISO 37301 stands as a Type A management system standard. It delineates the requirements and furnishes guidance for the establishment, growth, implementation, evaluation, maintenance, and perpetual enhancement of a compliance management system (CMS). A CMS offers organizations a structured method to fulfill all their compliance obligations. These obligations encompass mandatory requirements such as legal mandates, regulations, court rulings, permits, licenses, as well as voluntary commitments, such as internal policies, procedures, codes of conduct, standards, and agreements with communities or non-governmental organizations (NGOs).

ISO 37301 can be applied across all organizations, irrespective of their size, nature, or the complexity of their operations. The CMS is founded on principles that emphasize integrity, good governance, proportionality, transparency, accountability, and sustainability.

Much like other management system standards, ISO 37301 follows the high-level structure (HLS) established by ISO. The HLS structure establishes a common lexicon and definitions, as well as a sequence of clauses (from 1 to 10), with the requirements for the CMS delineated in clauses 4 through 10. This HLS framework empowers organizations to integrate various management systems, enabling them to either implement a CMS as a stand-alone system or incorporate it into existing management structures.

Has ISO not already issued a standard for compliance management systems?

 Indeed, ISO published ISO 19600, titled “Compliance management systems — Guidelines,” back in 2014. The primary difference between these two standards lies in the certification process. Organizations can attain certification against ISO 37301 by undergoing a conformity assessment conducted by an independent third party. Nonetheless, ISO 37301 builds upon and extends the foundations laid by its predecessor, ISO 19600. Organizations that have already established a CMS based on ISO 19600 are already well on their way to meeting the requirements of ISO 37301.

Why is ISO 37301 significant for organizations? 

For organizations aspiring to achieve growth and long-term success, adhering consistently to compliance obligations is not merely an option; it’s a necessity. A CMS aligned with the stipulations and guidance of ISO 37301 equips organizations with a toolkit encompassing policies, processes, and controls, which enables them to establish and nurture a culture of compliance.

Organizations embracing a CMS based on ISO 37301 commit to robust standards of corporate governance, best practices, and ethical behavior. While a CMS cannot completely eliminate the risk of noncompliance, ISO 37301’s requirements and guidance enhance an organization’s capability to identify and respond to instances of noncompliance. In certain jurisdictions, the presence of a CMS can serve as an indicator of an organization’s due diligence and commitment to compliance, potentially reducing legal liability and penalties for breaches of relevant laws.

ISO 37301 mandates requirements related to competence, communication, and awareness. By complying with these requisites, organizations ensure that the vision set forth by top management is effectively communicated and ingrained in the actions of managers and employees. ISO 37301 also encourages the establishment of concise and effective policies, procedures, and controls, steering organizations toward a culture of compliance and upholding high standards of ethics and integrity.

ISO 37301 outlines the journey towards compliance, commencing with the establishment of a strong tone at the top of the organization. Commitment to a robust compliance culture is articulated through a compliance policy and the establishment of compliance objectives at various levels, by the governing body and top management. Additionally, these leadership figures are obligated to demonstrate their commitment to the CMS through their actions and decisions, actively and visibly.

Why should you pursue ISO 37301 certification?

 Internationally recognized, PECB certifications signify peer acknowledgment of an individual’s professional competencies in contributing to an organization’s CMS, whether as an auditor, implementer, or member of a CMS implementation team. By participating in one of our ISO 37301 training courses, you have the opportunity to develop your expertise and assist organizations in fulfilling their compliance obligations.

ISO 37301 Introduction Training: Suitable for professionals seeking a general understanding of ISO 37301 requirements.

ISO 37301 Transition Training: Designed for individuals already familiar with ISO 19600 and looking to update their knowledge.

ISO 37301 Foundation Training: Appropriate for entry-level professionals and compliance team members, offering insights into ISO 37301 requirements for a compliance management system.

ISO 37301 Lead Implementer Training: A comprehensive five-day course to acquire the knowledge and skills needed to implement a CMS based on ISO 37301.

ISO 37301 Lead Auditor Training: A five-day course aimed at enhancing professional capabilities to audit a CMS based on ISO 37301, in compliance with auditing guidelines outlined in ISO 19011 and the certification process described in ISO/IEC 17021-1.

Benefits of implementing ISO 37301 in an organization By implementing a CMS based on ISO 37301, organizations can:

-Undergo a formal third-party conformity assessment of their CMS.

-Cultivate a positive culture of compliance.

-Swiftly and effectively address compliance issues.

-Safeguard their reputation and uphold integrity by detecting and preventing unethical behavior.

-Enhance business opportunities and sustainability.

-Thoughtfully consider the requirements and expectations of internal and external stakeholders.

-Forge strong and valuable relationships with regulators.

-Instill confidence in third parties regarding the organization’s ability to achieve sustained success.

-Foster customer trust and loyalty.

How do I embark on ISO 37301 training courses? 

Given the rapid evolution of industries and global competition, becoming an ISO 37301 certified professional offers you the opportunity to aid your organization in consistently meeting its compliance obligations.

Our experts are ready to guide you through the process of obtaining an ISO 37301 credential and enhancing your career skills. Feel free to contact us to take the first step.

PECB Certified ISO 37301 Training Courses Available Elevate your knowledge and advance your career by participating in our ISO 37301 training courses. Browse the training options below to find the one that best suits your needs.