SCCE Society of Corporate Compliance and Ethics ISO 37301 on the 9th Annual European Compliance & Ethics Institute (March 17 - 10:00-11:00 CET) I am honored and humbled to speak about how the new ISO 37301 will help compliance officers to certify their ethics and compliance programs at the 9th Annual European Compliance & Ethics Institute (March 17th, 10:00 am CET). I will cover the compliance by design, not by disaster - Uses and implications for the new ISO 37301 on compliance management systems - Practical tips for preparing to meet the new requirements to certify compliance programs - Examples to demonstrate compliance with the standard Join the event: https://www.corporatecompliance.org/conferences/national/european-compliance-and-ethics-institute #compliance #ISO37301 #ISO37300 #ISO37302 Translation types Text translation Source text auto_awesome Translate from: English 660 / 5000 Translation results Sociedad SCCE de Ética y Cumplimiento Corporativo ISO 37301 en la novena edición anual del Instituto Europeo de Cumplimiento y Ética (17 de marzo de 10: 00-11: 00 CET) Me siento honrado y honrado de hablar sobre cómo la nueva ISO 37301 ayudará a los oficiales de cumplimiento a certificar sus programas de ética y cumplimiento en el Noveno Instituto Europeo Anual de Cumplimiento y Ética (17 de marzo, 10:00 am CET). Cubriré el cumplimiento por diseño, no por desastre. - Usos e implicaciones de la nueva ISO 37301 sobre sistemas de gestión del cumplimiento - Consejos prácticos para prepararse para cumplir con los nuevos requisitos para certificar programas de cumplimiento. - Ejemplos para demostrar el cumplimiento de la norma

1. 9TH ANNUAL
EUROPEAN COMPLIANCE &
ETHICS INSTITUTE
NEW ISO 37301
Prof. Hernan Huwyler
@hewyler #SCCEecei

2. /in/hernanwyler/
hewyler

3. An international
certificable standard
for compliance
programs
Use

4. It will replace the
ISO 19600 on anti-
corruption without
major changes
Use

5. It is starting…

6. Strong corporate
defense to meet
accountability
principles
Use

7. Studies show modest
results in reducing
regulatory violations
Coglianese, Cary and Nash, Jennifer, "Compliance Management Systems: Do They Make a Difference?" (2020)
Use

8. New ISOs for 2021
37000
Governance
37301
Compliance
ISO 37002
Whistleblowing

9. The ISO 37301 should
harmonize the
compliance controls in
policies and procedures
Implication

10. The final standard
will be published in
May 2021
Use
@hewyler #SCCEecei

11. Defines compliance as
meeting obligations >
needs and expectations
of interested parties
Scope

12. Regulations
Laws
Contracts
Scope
Compliance
obligations
Mandatory
Voluntary
Commitments
Values

13. Implement and update
a central compliance
register to compile
obligations
Implication

14. Embed responsibilities
for compliance
obligations into policies
and job definitions
Implication

15. Ensure that performance
appraisals and
incentives cover embed
responsibilities in roles
Implication

16. Implement a compliance
control matrix linking
objectives, obligations,
risks and policies
Implication

17. Then, not meeting
obligations creates
compliance risks
Scope
@hewyler #SCCEecei

18. Context

19. Expand the scope for
objective-centric and
data-driven compliance
risk assessments
Implication

20. • Periodically
• Material
changes
Risk process
Compliance
obligations
Activities
Objectives
Products
Services
Scope
Risk
assessment
Corrective
actions

21. Ensure managers
communicate
compliance risks to
affected and interested
parties
Implication

22. Collect data on
materialized compliance
risks in fraud losses,
complains and claims
bases
Implication

23. Implement a root-
cause analysis of
compliance violations
Implication

24. Validate quality and
availability of compliance
documentation and its
security controls to prevent
changes and destruction
Implication

25. Adjust the compliance
management systems
to address the risk
management plans and
evaluate their effectiveness
Implication

26. Compliance Mgmt System

27. Compliance Mgmt System
Purposes
Policies and
Procedures
Processes

28. Compliance Mgmt System
Purposes
Policies and
Procedures
Processes

29. Compliance Mgmt System
Board and
senior mgmt
Internal and 3P
documentation
External experts

30. Compliance Mgmt System
Values
Leadership
Culture

31. Update principles in the
compliance policy to
externally and internally
communicate changes
Implication

32. Update compliance KPIs
and targets in monitoring
trends and reporting to
upper management
Implication

33. Assess the effectiveness
of compliance training
and awareness for
employees and 3Ps
acting on their behalf
Implication

34. Due diligence required
for hiring and
promotion > no
transfers or continuous
Changes

35. Disciplinary actions
required for non-
compliance > no
grievances and appeals
Changes

36. Assess competences to
meet compliance
obligations in employee
due diligence
Implication

37. Baseline
• Identity
• Career
• Right to work
• Education
• Licenses
• Credit
• Criminal
Implication
Enhanced
• Legal demands
• Social media
• Registered assets
• Family and
household

38. Add the consequences
of non-compliances the
compliance policy and
train employees and
new hires
Implication

39. Validate the data
consistency and accuracy
for compliance
communication in the non-
financial reporting
Implication

40. Protection for
whistleblowing > no
incentives
Changes
@hewyler #SCCEecei

41. Include anti-retaliation
controls in the
whistleblowing policy
Implication

42. • Implement a leniency program
• Have an independent investigative
team
• Prevent risks in the complaint
ramifications
• Monitor peer pressure, bullying and
exclusion
Anti-retaliation controls

43. • Approve changes in work conditions
• Include the impact on family members
• Provide financial and emotional
support
• Protect whistleblowers from 3 to 5
years
Anti-retaliation controls

44. Whistleblowing
Accessible to all
employees
Anonymous or not
ISO 37002
Whistleblowing

45. Environmental
obligations for strategic
planning
Changes

46. Audit compliance
controls and third-
parties
Nice-to-have

47. Separate
accountabilities and
responsibilities in the
performance of
compliance controls
Nice-to-have

48. Include high risk
scenarios of compliance
breaches in the crisis
protocols
Nice-to-have

49. Expand due diligence
to partnerships,
mergers and
aquisitions
Nice-to-have

50. Adjust the approvals and
escalation procedures for
decisions and processes
posing high risks
Nice-to-have

51. Balance roles for the
compliance mgmt
system with the 3 lines
model
Nice-to-have

52. /in/hernanwyler
hewyler
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