[To download this presentation, visit: https://www.oeconsulting.com.sg/training-presentations] Ethical conduct and accountability are cornerstones of any successful organization. ISO 37002:2021 sets the global standard for whistleblowing management systems, offering a framework to promote a culture of transparency and integrity. This ISO 37002 Awareness training presentation provides a comprehensive overview of the standard, guiding organizations on the principles and practices essential for effective whistleblowing management. Learn how ISO 37002 can revolutionize your organization's approach to whistleblowing, enhancing trust and accountability within your teams. Gain insights into the benefits of implementing ISO 37002, including improved risk management, enhanced employee satisfaction, and strengthened organizational reputation. This ISO 37002:2021 Awareness PPT training presentation covers the key aspects of ISO 37002, from its fundamental principles to the practical steps involved in implementation. Discover best practices and strategies to overcome challenges, ensuring a smooth and successful integration of ISO 37002 into your organization's culture. Empower your organization with the knowledge and tools needed to establish a robust whistleblowing management system. Join the global movement towards ethical and transparent business practices with ISO 37002:2021. Unlock the potential of whistleblowing as a vital component of your organization's governance framework. LEARNING OBJECTIVES: 1. Understand the purpose and importance of ISO standards in facilitating international trade and communication. 2. Gain insight into the key principles and benefits of ISO 37002 for establishing effective whistleblowing management systems. 3. Learn best practices and challenges in implementing ISO 37002 to promote a culture of trust, transparency, and accountability within organizations. CONTENTS: 1. Understanding ISO Standards 2. Introduction to ISO 37002 3. ISO 37002 Structure 4. Implementation of ISO 37002

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

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● 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

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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

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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

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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:

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“
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

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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

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

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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.

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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.

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● 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

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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.

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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

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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

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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

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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.

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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

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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.
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