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© Operational Excellence Consulting
ISO 37002:2021
Whistleblowing Management Systems
© Operational Excellence Consulting. All rights reserved.
© Operational Excellence Consulting
LEARNING OBJECTIVES
2
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.
Understand the purpose
and importance of ISO
standards in facilitating
international trade and
communication.
NOTE: This is a PARTIAL PREVIEW.
To download the complete presentation, please
visit: https://www.oeconsulting.com.sg
© Operational Excellence Consulting
CONTENTS
3
UNDERSTANDING
ISO STANDARDS
INTRODUCTION
TO ISO 37002
02
01
ISO 37002
STRUCTURE
03
IMPLEMENTATION
OF ISO 37002
04
© Operational Excellence Consulting
● 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
THE POWER OF ISO STANDARDS: DRIVING EXCELLENCE GLOBALLY
4
© Operational Excellence Consulting
WHY ARE INTERNATIONAL STANDARDS IMPORTANT?
5
Facilitates business
interaction
Communication
Enables companies to
comply with relevant
laws and regulations
Compliance
Speeds up the
introduction of
innovative products and
services to the market
Innovation
Provides
interoperability between
new and existing
products, services and
processes
Interoperability
© Operational Excellence Consulting
WHAT IS A MANAGEMENT SYSTEM?
6
A management system is the way in which an
organization manages the interrelated parts of its
business in order to achieve its objectives.
Source: Adapted from ISO
© Operational Excellence Consulting
ISO STANDARDS CONTRIBUTE DIRECTLY TO THE U.N. SUSTAINABLE
DEVELOPMENT GOALS (SDGs)
7
ISO 14001:2015
Environmental
Management Systems
ISO/IEC
27001:2022
Information Security
Management Systems
ISO 31000:2018
Risk Management
Systems
ISO 26000:2010
Social Responsibility
ISO 9001:2015
Quality Management
Systems
ISO 37301:2021
Compliance
Management Systems
ISO 37001:2016
Anti-Bribery
Management Systems
ISO 45001:2018
Occupational Health &
Safety Management
Systems
Some examples of popular ISO standards that are adopted
by various companies and organizations:
© Operational Excellence Consulting
“
The world is a dangerous
place, not because of those
who do evil, but because of
those who look on and do
nothing.
ALBERT EINSTEIN
8
© Operational Excellence Consulting
BREAKING THE SILENCE: OVERCOMING TRADITIONAL MINDSETS IN
WHISTLEBLOWING
9
“Whistleblowing
disrupts the harmony of
the workplace and
creates unnecessary
conflict.”
“I don’t want to be seen
as a troublemaker or
someone who can’t be
trusted.”
“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.”
© Operational Excellence Consulting
● 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
OVERVIEW OF ISO 37002
10
© Operational Excellence Consulting
DEFINITION OF “WHISTLEBLOWING”
11
“Whistleblowing is the act of reporting
suspected wrongdoing or risk of
wrongdoing.”
Source: Adapted from ISO
© Operational Excellence Consulting
EXAMPLES OF WRONGDOINGS
12
Corruption or
bribery
Fraud or financial
misconduct
Health and safety
violations
Harassment or
discrimination
Violations of laws or
regulations
Environmental
violations
Retaliation against
whistleblowers
Misuse of company
assets
Define wrongdoing based on your organization’s specific context to ensure your whistleblowing
management system effectively captures all forms of misconduct or policy violations.
© Operational Excellence Consulting
USE CASES OF ISO 37002
13
System Evaluation
Benchmark to evaluate
existing whistleblowing
management systems.
Stakeholder Guidance
Guidance material for
stakeholders to develop their
anti-bribery management
system or set expectations.
System Design
Blueprint to design a new
whistleblowing system or
improve an existing one.
Competitive Edge
Competitive advantage to
differentiate an organization
from its competitors.
Business Associate
Oversight
Program for reviewing,
monitoring, or auditing a
business associate.
Business Requirement
Requirement as a condition
to start or continue business
with an organization.
© Operational Excellence Consulting
WHISTLEBLOWING PROCESS OVERVIEW
14
Reviewing
Reports
Assessing
Reports
Addressing
Reports
Concluding
Reports
The organization
receives reports of
suspected
wrongdoing through
designated channels.
The whistleblowing
case is concluded,
and outcomes are
communicated.
Action is taken to
address the reported
wrongdoing.
Reports are evaluated
to determine their
credibility and
significance.
© Operational Excellence Consulting
● Everyone in the organization has
roles and responsibilities related to
designing, planning, implementing,
managing, and maintaining the
whistleblowing management
system
● Leadership is responsible for
supporting the program and
ensuring sufficient resources
IMPLEMENTATION RESPONSIBILITIES FOR ISO 37002
● 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
15
© Operational Excellence Consulting
PLAN-DO-CHECK-ACT (PDCA) CYCLE
16
ACT
CHECK
DO
PLAN
THE PDCA
CYCLE
1. PLAN
Establish objectives,
processes, and resources
needed to deliver results in
accordance with the
whistleblowing policy.
2. DO
Implement the
whistleblowing
management system
processes
4. ACT
Take actions to continually
improve the whistleblowing
management system.
3. CHECK
Monitor and measure
processes against
whistleblowing policy,
objectives, and relevant
legal and regulatory
requirements.
© Operational Excellence Consulting
OVERVIEW OF THE
WHISTLEBLOWING
MANAGEMENT SYSTEM
(WMS)
17
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)
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)
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)
Determining the scope
of the whistleblowing
management system
(4.3)
Understanding the
needs and expectations
of interested parties
(4.2)
Understanding the
organization and its
context
(4.1)
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;
§ reducing the risk of wrongdoing.
Source: Adapted from ISO 37002
© Operational Excellence Consulting
PDCA & ISO 37002 CLAUSE STRUCTURE
18
ACT PLAN
DO
CHECK
9. Performance
Evaluation
4. Context of the
Organization
5. Leadership
6. Planning
7. Support
8. Operation
10. Improvement
0. Introduction
1. Scope
2. Normative References
3. Terms & Definitions
© Operational Excellence Consulting
ISO 37002:2021 KEY 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
POWERING PROGRESS: THE PDCA CYCLE – YOUR CONTINUOUS
IMPROVEMENT ENGINE
20
Consolidation
through
Standardization
Improvement
P
D
C
A
P
D
C
A
Current
Standard
New
Standard
Time
Continuous
Improvement
© Operational Excellence Consulting 21
OVERVIEW OF ISO 37002 IMPLEMENTATION PROCESS
3 5 7
1 4 6
2
Initiation:
Establish the need for a
whistleblowing
management system.
Obtain leadership support
and commitment.
Planning:
Define the scope and
objectives of the
implementation.
Develop a project plan,
including timelines and
responsibilities.
Risk Assessment:
Identify potential risks
related to whistleblowing in
the organization.
Evaluate the impact and
likelihood of these risks.
Implementation:
Implement the
whistleblowing
management system
according to the plan.
Train employees on the
new system and their roles.
Review and
Improvement:
Conduct regular reviews of
the system's performance.
Continuously improve the
system based on feedback
and lessons learned.
Policy Development:
Develop a whistleblowing
policy aligned with ISO
37002 requirements.
Ensure the policy is
communicated effectively
to all stakeholders.
Monitoring and
Measurement:
Monitor the effectiveness
of the whistleblowing
system. Collect data and
feedback to evaluate
performance.
© Operational Excellence Consulting
CHALLENGES IN WHISTLEBLOWING AND SOLUTIONS
22
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
© Operational Excellence Consulting
WHISTLEBLOWING WISDOM: DO’S AND DON’TS FOR EFFECTIVE
IMPLEMENTATION
23
Do’s Don’ts
§ Do report genuine concerns about
wrongdoing or unethical behavior
§ Do use internal reporting channels first, if
possible
§ Do provide specific details and evidence to
support your report
§ Do follow the organization’s whistleblowing
policy and procedures
§ Do seek advice from a trusted source if you
are unsure about reporting
§ Don’t make false or malicious reports
§ Don’t ignore or tolerate wrongdoing if it
poses serious risks
§ Don’t bypass internal reporting channels
without a valid reason
§ Don’t disclose confidential information in
your report
§ Don’t expect immediate resolution;
whistleblowing processes may take time to
investigate
© 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.
ABOUT OPERATIONAL EXCELLENCE CONSULTING

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ISO 37002:2021 (Whistleblowing Management Systems) Awareness Training

  • 1. © Operational Excellence Consulting ISO 37002:2021 Whistleblowing Management Systems © Operational Excellence Consulting. All rights reserved.
  • 2. © Operational Excellence Consulting LEARNING OBJECTIVES 2 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. Understand the purpose and importance of ISO standards in facilitating international trade and communication. NOTE: This is a PARTIAL PREVIEW. To download the complete presentation, please visit: https://www.oeconsulting.com.sg
  • 3. © Operational Excellence Consulting CONTENTS 3 UNDERSTANDING ISO STANDARDS INTRODUCTION TO ISO 37002 02 01 ISO 37002 STRUCTURE 03 IMPLEMENTATION OF ISO 37002 04
  • 4. © Operational Excellence Consulting ● 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 THE POWER OF ISO STANDARDS: DRIVING EXCELLENCE GLOBALLY 4
  • 5. © Operational Excellence Consulting WHY ARE INTERNATIONAL STANDARDS IMPORTANT? 5 Facilitates business interaction Communication Enables companies to comply with relevant laws and regulations Compliance Speeds up the introduction of innovative products and services to the market Innovation Provides interoperability between new and existing products, services and processes Interoperability
  • 6. © Operational Excellence Consulting WHAT IS A MANAGEMENT SYSTEM? 6 A management system is the way in which an organization manages the interrelated parts of its business in order to achieve its objectives. Source: Adapted from ISO
  • 7. © Operational Excellence Consulting ISO STANDARDS CONTRIBUTE DIRECTLY TO THE U.N. SUSTAINABLE DEVELOPMENT GOALS (SDGs) 7 ISO 14001:2015 Environmental Management Systems ISO/IEC 27001:2022 Information Security Management Systems ISO 31000:2018 Risk Management Systems ISO 26000:2010 Social Responsibility ISO 9001:2015 Quality Management Systems ISO 37301:2021 Compliance Management Systems ISO 37001:2016 Anti-Bribery Management Systems ISO 45001:2018 Occupational Health & Safety Management Systems Some examples of popular ISO standards that are adopted by various companies and organizations:
  • 8. © Operational Excellence Consulting “ The world is a dangerous place, not because of those who do evil, but because of those who look on and do nothing. ALBERT EINSTEIN 8
  • 9. © Operational Excellence Consulting BREAKING THE SILENCE: OVERCOMING TRADITIONAL MINDSETS IN WHISTLEBLOWING 9 “Whistleblowing disrupts the harmony of the workplace and creates unnecessary conflict.” “I don’t want to be seen as a troublemaker or someone who can’t be trusted.” “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.”
  • 10. © Operational Excellence Consulting ● 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 OVERVIEW OF ISO 37002 10
  • 11. © Operational Excellence Consulting DEFINITION OF “WHISTLEBLOWING” 11 “Whistleblowing is the act of reporting suspected wrongdoing or risk of wrongdoing.” Source: Adapted from ISO
  • 12. © Operational Excellence Consulting EXAMPLES OF WRONGDOINGS 12 Corruption or bribery Fraud or financial misconduct Health and safety violations Harassment or discrimination Violations of laws or regulations Environmental violations Retaliation against whistleblowers Misuse of company assets Define wrongdoing based on your organization’s specific context to ensure your whistleblowing management system effectively captures all forms of misconduct or policy violations.
  • 13. © Operational Excellence Consulting USE CASES OF ISO 37002 13 System Evaluation Benchmark to evaluate existing whistleblowing management systems. Stakeholder Guidance Guidance material for stakeholders to develop their anti-bribery management system or set expectations. System Design Blueprint to design a new whistleblowing system or improve an existing one. Competitive Edge Competitive advantage to differentiate an organization from its competitors. Business Associate Oversight Program for reviewing, monitoring, or auditing a business associate. Business Requirement Requirement as a condition to start or continue business with an organization.
  • 14. © Operational Excellence Consulting WHISTLEBLOWING PROCESS OVERVIEW 14 Reviewing Reports Assessing Reports Addressing Reports Concluding Reports The organization receives reports of suspected wrongdoing through designated channels. The whistleblowing case is concluded, and outcomes are communicated. Action is taken to address the reported wrongdoing. Reports are evaluated to determine their credibility and significance.
  • 15. © Operational Excellence Consulting ● Everyone in the organization has roles and responsibilities related to designing, planning, implementing, managing, and maintaining the whistleblowing management system ● Leadership is responsible for supporting the program and ensuring sufficient resources IMPLEMENTATION RESPONSIBILITIES FOR ISO 37002 ● 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 15
  • 16. © Operational Excellence Consulting PLAN-DO-CHECK-ACT (PDCA) CYCLE 16 ACT CHECK DO PLAN THE PDCA CYCLE 1. PLAN Establish objectives, processes, and resources needed to deliver results in accordance with the whistleblowing policy. 2. DO Implement the whistleblowing management system processes 4. ACT Take actions to continually improve the whistleblowing management system. 3. CHECK Monitor and measure processes against whistleblowing policy, objectives, and relevant legal and regulatory requirements.
  • 17. © Operational Excellence Consulting OVERVIEW OF THE WHISTLEBLOWING MANAGEMENT SYSTEM (WMS) 17 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) 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) 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) Determining the scope of the whistleblowing management system (4.3) Understanding the needs and expectations of interested parties (4.2) Understanding the organization and its context (4.1) 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; § reducing the risk of wrongdoing. Source: Adapted from ISO 37002
  • 18. © Operational Excellence Consulting PDCA & ISO 37002 CLAUSE STRUCTURE 18 ACT PLAN DO CHECK 9. Performance Evaluation 4. Context of the Organization 5. Leadership 6. Planning 7. Support 8. Operation 10. Improvement 0. Introduction 1. Scope 2. Normative References 3. Terms & Definitions
  • 19. © Operational Excellence Consulting ISO 37002:2021 KEY 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
  • 20. © Operational Excellence Consulting POWERING PROGRESS: THE PDCA CYCLE – YOUR CONTINUOUS IMPROVEMENT ENGINE 20 Consolidation through Standardization Improvement P D C A P D C A Current Standard New Standard Time Continuous Improvement
  • 21. © Operational Excellence Consulting 21 OVERVIEW OF ISO 37002 IMPLEMENTATION PROCESS 3 5 7 1 4 6 2 Initiation: Establish the need for a whistleblowing management system. Obtain leadership support and commitment. Planning: Define the scope and objectives of the implementation. Develop a project plan, including timelines and responsibilities. Risk Assessment: Identify potential risks related to whistleblowing in the organization. Evaluate the impact and likelihood of these risks. Implementation: Implement the whistleblowing management system according to the plan. Train employees on the new system and their roles. Review and Improvement: Conduct regular reviews of the system's performance. Continuously improve the system based on feedback and lessons learned. Policy Development: Develop a whistleblowing policy aligned with ISO 37002 requirements. Ensure the policy is communicated effectively to all stakeholders. Monitoring and Measurement: Monitor the effectiveness of the whistleblowing system. Collect data and feedback to evaluate performance.
  • 22. © Operational Excellence Consulting CHALLENGES IN WHISTLEBLOWING AND SOLUTIONS 22 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
  • 23. © Operational Excellence Consulting WHISTLEBLOWING WISDOM: DO’S AND DON’TS FOR EFFECTIVE IMPLEMENTATION 23 Do’s Don’ts § Do report genuine concerns about wrongdoing or unethical behavior § Do use internal reporting channels first, if possible § Do provide specific details and evidence to support your report § Do follow the organization’s whistleblowing policy and procedures § Do seek advice from a trusted source if you are unsure about reporting § Don’t make false or malicious reports § Don’t ignore or tolerate wrongdoing if it poses serious risks § Don’t bypass internal reporting channels without a valid reason § Don’t disclose confidential information in your report § Don’t expect immediate resolution; whistleblowing processes may take time to investigate
  • 24. © 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. ABOUT OPERATIONAL EXCELLENCE CONSULTING