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Course Outline

Introduction to ISO 37301 and Compliance Management

  • Overview of ISO 37301 standards and their intended application for government
  • Fundamental compliance principles: integrity, accountability, and transparency
  • Distinctions between the former ISO 19600 guidelines and current ISO 37301 requirements

Organizational Context and Leadership Accountability

  • Analysis of external and internal organizational factors affecting compliance
  • Roles and responsibilities of senior leadership in governance
  • Development of formal compliance policies and measurable objectives

Strategic Planning and Support Mechanisms

  • Identification of compliance risks and implementation of mitigation strategies
  • Requirements for staff competence, awareness, and effective communication
  • Documentation standards and resource allocation for the Compliance Management System (CMS)

Operational Controls and Compliance Procedures

  • Definition of operational workflows and assigned responsibilities
  • Evaluation of third-party relationships and outsourcing compliance obligations
  • Registration of legal obligations and implementation of appropriate controls

Monitoring, Evaluation, and Reporting Protocols

  • Measurement of compliance performance using Key Performance Indicators (KPIs)
  • Execution of internal audits and comprehensive compliance assessments
  • Procedures for compliance reporting and incident escalation

Management Review and Continuous Improvement

  • Evaluation of system performance with input from leadership
  • Resolution of nonconformities through corrective actions
  • Commitment to the ongoing enhancement of the CMS framework

Certification, Integration, and Future Readiness

  • Procedures for ISO 37301 certification and management by third-party auditors
  • Alignment with ISO 37001, ISO 9001, or ISO 27001 standards
  • Analysis of emerging compliance trends and digital governance advancements

Summary and Next Steps

Requirements

  • Proficiency in the principles governing regulatory adherence and risk assessment
  • Knowledge of established management system frameworks
  • Practical background within regulatory, legal, or internal control disciplines

Audience

  • Compliance specialists and internal control administrators responsible for government operations
  • Internal auditors, legal counsel, and risk management practitioners
  • Executive leadership and governance officials committed to maintaining regulatory integrity
 14 Hours

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