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ISO 37002:2021 (Whistleblowing Management Systems) Awareness Training

ISO 37002:2021 (Whistleblowing Management Systems) Awareness Training

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ISO 37002:2021 (Whistleblowing Management Systems) Awareness Training

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  1. ISO 37002:2021 Whistleblowing Management Systems © Operational Excellence Consulting © Operational Excellence Consulting. All rights reserved.

  2. NOTE: This is a PARTIAL PREVIEW. To download the complete presentation, please visit: https://www.oeconsulting.com.sg LEARNING OBJECTIVES Understand the purpose and importance of ISO standards in facilitating international trade and communication. Gain insight into the key principles and benefits of ISO 37002 for establishing effective whistleblowing management systems. Learn best practices and challenges in implementing ISO 37002 to promote a culture of trust, transparency, and accountability within organizations. 2 © Operational Excellence Consulting

  3. CONTENTS 01 02 03 04 UNDERSTANDING ISO STANDARDS INTRODUCTION TO ISO 37002 ISO 37002 STRUCTURE IMPLEMENTATION OF ISO 37002 3 © Operational Excellence Consulting

  4. THE POWER OF ISO STANDARDS: DRIVING EXCELLENCE GLOBALLY ISO standards are internationally agreed by experts, representing the distilled wisdom of industry leaders ● They serve as formulas for the best practices in various activities like product- making, process management, service delivery, and material supply ● These standards are crafted by experts who understand the needs of organizations, including manufacturers, sellers, buyers, customers, trade associations, users, and regulators ● © Operational Excellence Consulting 4

  5. WHY ARE INTERNATIONAL STANDARDS IMPORTANT? Communication Compliance Innovation Interoperability Facilitates business interaction Enables companies to comply with relevant laws and regulations Speeds up the introduction of innovative products and services to the market Provides interoperability between new and existing products, services and processes 5 © Operational Excellence Consulting

  6. WHAT IS A MANAGEMENT SYSTEM? A management system is the way in which an organization manages the interrelated parts of its business in order to achieve its objectives. 6 Source: Adapted from ISO © Operational Excellence Consulting

  7. ISO STANDARDS CONTRIBUTE DIRECTLY TO THE U.N. SUSTAINABLE DEVELOPMENT GOALS (SDGs) Some examples of popular ISO standards that are adopted by various companies and organizations: ISO 9001:2015 ISO 14001:2015 ISO 45001:2018 ISO 26000:2010 Quality Management Systems Environmental Management Systems Occupational Health & Safety Management Systems Social Responsibility ISO/IEC 27001:2022 ISO 37001:2016 ISO 37301:2021 ISO 31000:2018 Anti-Bribery Management Systems Compliance Management Systems Risk Management Systems Information Security Management Systems 7 © Operational Excellence Consulting

  8. “ those who look on and do nothing. The world is a dangerous place, not because of those who do evil, but because of ALBERT EINSTEIN 8 © Operational Excellence Consulting

  9. BREAKING THE SILENCE: OVERCOMING TRADITIONAL MINDSETS IN WHISTLEBLOWING “I don’t want to be seen as a troublemaker or someone who can’t be trusted.” “Whistleblowing disrupts the harmony of the workplace and creates unnecessary conflict.” “Reporting misconduct internally is sufficient; there’s no need to involve external parties.” “I’m afraid of retaliation if I speak up, so it’s better to stay silent.” 9 © Operational Excellence Consulting

  10. OVERVIEW OF ISO 37002 ISO 37002:2021 developed by global experts, published on 27 July 2021 ● Effective whistleblowing programs protect organizations from financial and reputational damage ● ISO 37002 is a voluntary standard that organizations can adopt ● Compliance with the standard may become a legal or contractual requirement in certain industries or organizations, such as public procurement or supply chains ● © Operational Excellence Consulting 10

  11. DEFINITION OF “WHISTLEBLOWING” “Whistleblowing is the act of reporting suspected wrongdoing or risk of wrongdoing.” 11 Source: Adapted from ISO © Operational Excellence Consulting

  12. EXAMPLES OF WRONGDOINGS Harassment or discrimination Health and safety violations Fraud or financial misconduct Corruption or bribery Misuse of company assets Retaliation against whistleblowers Environmental violations Violations of laws or regulations Define wrongdoing based on your organization’s specific context to ensure your whistleblowing management system effectively captures all forms of misconduct or policy violations. 12 © Operational Excellence Consulting

  13. USE CASES OF ISO 37002 System Design Stakeholder Guidance System Evaluation Blueprint to design a new whistleblowing system or improve an existing one. Guidance material for stakeholders to develop their anti-bribery management system or set expectations. Benchmark to evaluate existing whistleblowing management systems. Business Requirement Business Associate Oversight Competitive Edge Requirement as a condition to start or continue business with an organization. Competitive advantage to differentiate an organization from its competitors. Program for reviewing, monitoring, or auditing a business associate. 13 © Operational Excellence Consulting

  14. WHISTLEBLOWING PROCESS OVERVIEW Reviewing Reports Assessing Reports Addressing Reports Concluding Reports The organization receives reports of suspected wrongdoing through designated channels. Reports are evaluated to determine their credibility and significance. Action is taken to address the reported wrongdoing. The whistleblowing case is concluded, and outcomes are communicated. 14 © Operational Excellence Consulting

  15. IMPLEMENTATION RESPONSIBILITIES FOR ISO 37002 Everyone in the organization has roles and responsibilities related to designing, planning, implementing, managing, and maintaining the whistleblowing management system Management is responsible for implementing and managing the program ● ● All employees are responsible for knowing and complying with the whistleblowing policy, completing training, and reporting non- compliance ● Leadership is responsible for supporting the program and ensuring sufficient resources ● 15 © Operational Excellence Consulting

  16. PLAN-DO-CHECK-ACT (PDCA) CYCLE 4. ACT 1. PLAN Take actions to continually improve the whistleblowing management system. Establish objectives, processes, and resources needed to deliver results in accordance with the whistleblowing policy. ACT PLAN THE PDCA CYCLE 3. CHECK 2. DO CHECK Monitor and measure processes against whistleblowing policy, objectives, and relevant legal and regulatory requirements. Implement the whistleblowing management system processes DO 16 © Operational Excellence Consulting

  17. Understanding the organization and its context (4.1) Understanding the needs and expectations of interested parties (4.2) OVERVIEW OF THE WHISTLEBLOWING MANAGEMENT SYSTEM (WMS) Determining the scope of the whistleblowing management system (4.3) PLAN Actions to address risks and opportunities (6.1) Whistleblowing management system objectives and planning to achieve them (6.2) LEADERSHIP Leadership and commitment (5.1) Policy (5.2) Roles, responsibilities and accountability (5.3) DO Receiving reports of wrongdoing (8.2) Assessing reports of wrongdoing (8.3) Addressing reports of wrongdoing (8.4) Concluding whistleblowing cases (8.5) ACT Continuous improvement (10.1) Nonconformity and corrective action (10.2) SUPPORT Resources (7.1) Competence (7.2) Awareness (7.3) Documented information (7.5) CHECK Monitoring, measurement, analysis, and evaluation (9.1) Internal audit (9.2) Management review (9.3) INTENDED OUTCOMES: § encouraging and facilitating reporting of wrongdoing; § supporting and protecting whistleblowers and other interested parties involved; § ensuring reports of wrongdoing are dealt with in a proper and timely manner; § improving organization culture and governance; 17 Source: Adapted from ISO 37002 © Operational Excellence Consulting § reducing the risk of wrongdoing.

  18. PDCA & ISO 37002 CLAUSE STRUCTURE 4. Context of the Organization 0. Introduction 1. Scope 2. Normative References 3. Terms & Definitions 5. Leadership ACT PLAN 10. Improvement 6. Planning CHECK DO 7. Support 9. Performance Evaluation 8. Operation 18 © Operational Excellence Consulting

  19. ISO 37002:2021KEY CLAUSE STRUCTURE (4-10) PLAN DO CHECK ACT 4. Context of the organization 5. Leadership 6. Planning 7. Support 8. Operation 9. Performance evaluation 10. Improvement 4.1 Understanding the organization and its context 5.1 Leadership and commitment 6.1 Actions to address risks and opportunities 7.1 Resources 8.1 Operational planning and control 9.1 Monitoring, measurement, analysis and evaluation 10.1 Continual improvement 4.2 Understanding the needs and expectations of interested parties 5.2 Whistleblowing Policy 6.2 Objectives of the WMS and planning to achieve them 7.2 Competence Receiving reports of wrongdoing 9.2 Internal audit 10.2 Nonconformity and corrective action 4.3 Determining the scope of the WMS 5.3 Roles, responsibilities and authorities 6.3 Planning of changes 7.3 Awareness 8.3 Assessing reports of wrongdoing 9.3 Management review 4.4 WMS 7.4 Communication 8.4 Addressing reports of wrongdoing 7.5 Documented information 8.5 Conducting whistleblowing cases © Operational Excellence Consulting

  20. POWERING PROGRESS: THE PDCA CYCLE – YOUR CONTINUOUS IMPROVEMENT ENGINE Continuous Improvement A P D C New Standard A P D Improvement C Consolidation through Standardization Current Standard Time 20 © Operational Excellence Consulting

  21. OVERVIEW OF ISO 37002 IMPLEMENTATION PROCESS Monitoring and Measurement: Monitor the effectiveness of the whistleblowing system. Collect data and feedback to evaluate performance. Planning: Define the scope and objectives of the implementation. Develop a project plan, including timelines and responsibilities. Policy Development: Develop a whistleblowing policy aligned with ISO 37002 requirements. Ensure the policy is communicated effectively to all stakeholders. 2 4 6 1 3 5 7 Implementation: Implement the whistleblowing management system according to the plan. Train employees on the new system and their roles. Initiation: Risk Assessment: Identify potential risks related to whistleblowing in the organization. Evaluate the impact and likelihood of these risks. Review and Improvement: Conduct regular reviews of the system's performance. Continuously improve the system based on feedback and lessons learned. Establish the need for a whistleblowing management system. Obtain leadership support and commitment. 21 © Operational Excellence Consulting

  22. CHALLENGES IN WHISTLEBLOWING AND SOLUTIONS Challenge Description Resolution Fear of Retaliation § Whistleblowers may fear reprisals or negative consequences § Implement strong anti-retaliation policies and protections Lack of Awareness § Employees may not be aware of whistleblowing policies or channels § Conduct regular training and awareness campaigns Complex Reporting Procedures § Reporting procedures may be complex or unclear § Simplify reporting channels and provide clear guidelines Organizational Culture § A culture of silence or distrust may discourage § Foster a culture of transparency, trust, and accountability Insufficient Support § Whistleblowers may feel unsupported or isolated § Provide emotional and legal support to whistleblowers Legal and Regulatory Risks § Legal and regulatory risks may deter reporting § Ensure compliance with laws and regulations, and protect whistleblowers legally Lack of Follow-Up § Reports may not be followed up or addressed § Establish clear procedures for investigating and addressing reports 22 © Operational Excellence Consulting

  23. WHISTLEBLOWING WISDOM: DO’S AND DON’TS FOR EFFECTIVE IMPLEMENTATION Do’s Don’ts Do report genuine concerns about wrongdoing or unethical behavior Don’t make false or malicious reports § § Don’t ignore or tolerate wrongdoing if it poses serious risks § Do use internal reporting channels first, if possible § Don’t bypass internal reporting channels without a valid reason § Do provide specific details and evidence to support your report § Don’t disclose confidential information in your report § Do follow the organization’s whistleblowing policy and procedures § Don’t expect immediate resolution; whistleblowing processes may take time to investigate § Do seek advice from a trusted source if you are unsure about reporting § 23 © Operational Excellence Consulting

  24. ABOUT OPERATIONAL EXCELLENCE CONSULTING Operational Excellence Consulting is a Singapore- based management training and consulting firm specializing in enhancing business performance and effectiveness. We focus on maximizing customer value and minimizing waste through strategic adoption of Design Thinking and Lean management practices. For more information, visit www.oeconsulting.com.sg. © Operational Excellence Consulting

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