ISO 37301 Lead Implementer Course

Why should you attend the training?

ABAC® ISO 37301 Lead Implementer course. The five-day intensive course enables participants to develop the necessary expertise to support an organisation in implementing and managing a Compliance Management Systems (CMS) based on ISO 37301:2021. Participants will also understand the global compliance framework best practice used to implement the comprehensive compliance management system based on ISO 37301:2021.

This management system is designed to be integrated with any existing system, such as ISO 37001:2016 Anti-Bribery Management System, and can be adapted to any organisation in any country.

Who should attend the training?

  • Managers and consultants seeking knowledge about the basic concepts of a CMS
  • Compliance officers and members of compliance teams who want to get acquainted with ISO 37301’s requirements
  • Individuals wishing to contribute to maintaining organisational integrity by supporting ethical behaviour
  • Individuals aspiring to become compliance officers or compliance management, consultant
  • Managers and members of governance, risk management and compliance

What is the learning objective?

  • Understand the implementation of Compliance Management System following ISO 37301:2021
  • Gain a comprehensive understanding of the approaches, methods, measures and techniques required for the effective management of the Compliance Management Systems
  • Gain knowledge and skills in identifying risks and opportunities associated with an organisation
  • Acquire the necessary expertise to support an organisation in establishing, implementing, managing and maintaining the Compliance Management Systems as specified in ISO 37301:2021
  • Acquire the necessary expertise to manage a team implementing an ISO 37301
  • Develop the knowledge and skills required to advise organisations on the Compliance and regulatory framework good practices
  • Help an organisation implement the necessary measures following ISO 37301 and improve the compliance team’s competency level
  • Prepare an organisation for an ISO 37301:2021 Compliance Management Systems certification audit

What is the course outline?

DAY 1: INTRODUCTION TO ISO 37301 AND INTEGRATION WITH AN EXISTING MANAGEMENT SYSTEM

  • Unit 1: Course objectives and structure
  • Unit 2: Introduction to ISO 37301 and the process approach
  • Unit 3: Global Regulatory Compliance Framework Guidelines on Adequate Procedures
  • Unit 4: Global Legislative and Corporate Compliance Program Approaches
  • Unit 5: Core Principles of ISO 37301 Compliance Management System Unit
  • Unit 6: Initiating ISO 37301 implementation and integration with an existing Management Systems
  • Unit 7: Understanding the requirements of ISO 37301 and clarifying the Compliance Management System objectives

DAY 2: DEFINE AND PLAN THE IMPLEMENTATION OF ISO 37301

  • Unit 1: Selection of the approach and implementation methodology
  • Unit 2: Definition and Determination of the scope of ISO 37301 Compliance Management System
  • Unit 3: Definition of Compliance, obligations and Ethics Policy and Objectives
  • Unit 4: Identification and analysis of organisations nature and the compliance risk assessment process
  • Unit 5: Drafting policies in compliance with ISO 37301

DAY 3: DEPLOYING THE ISO 37301 COMPLIANCE MANAGEMENT SYSTEM

  • Unit 1: Assessment of compliance risks, including due diligence versus inadequate due diligence
  • Unit 2: Implementation of compliance framework, policy and top management commitment
  • Unit 3: Compliance Culture, Communication of new policies to associated persons
  • Unit 4: Compliance governance, training and awareness plan
  • Unit 5: Verification of compliance with ISO 37301, Roles, responsibilities and authorities

DAY 4: ISO 37301 MEASUREMENT, CONTROL, CONTINUOUS IMPROVEMENT AND PREPARATION FOR CERTIFICATION AUDIT

  • Unit 1: Compliance function, Monitoring organisation’s benefits to ensure that they have Compliance Framework purposes
  • Unit 2: Management, Planning, Resources and Competencies for implementation of controls to prevent compliance risks
  • Unit 3: Implementation of financial controls, Internal Audit and Employment processes, Performance evaluation
  • Unit 4: Compliance Reporting and Investigation Processes, feedback process on compliance performance
  • Unit 5: Management review and Treatment of problems and non-conformities
  • Unit 6: Continual improvement, Preparing for the certification audit
  • Unit 7: Competence and evaluation of implementers

Day 5: EXAMINATION

  • 3 hours examination

What is our training approach?

The ABAC® training course is participant centred and contains:

  • Highly Interactive Session, with a bilateral approach to the subject matter, allowing participants to share incidences at respective work locations.
  • Essay-type exercises and multiple-choice quizzes
  • Interaction between participants through questions and suggestions

What is the methodology and mode of the training?

  • Methodology: Lecture, role play, case study, discussion, and video clips
  • Mode: Online learning (without trainer) / Online Classroom (with a trainer)

Prerequisites

Participants need to has the basic knowledge of ISO management system standards, as well as a general understanding of ISO 37301 (or ISO 19600 guidelines) and the MS implementation principles

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