ISO 37002:2021
Whistleblowing management systems — Guidelines
This document gives guidelines for establishing, implementing and maintaining an effective whistleblowing management system based on the principles of trust, impartiality and protection in the following four steps:
a) receiving reports of wrongdoing;
b) assessing reports of wrongdoing;
c) addressing reports of wrongdoing;
d) concluding whistleblowing cases.
The guidelines of this document are generic and intended to be applicable to all organizations, regardless of type, size, nature of activity, and whether in the public, private or not-for profit sectors.
The extent of application of these guidelines depends on the factors specified in 4.1, 4.2 and 4.3. The whistleblowing management system can be stand-alone or can be used as part of an overall management system.
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Foreword
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Context of the organization
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the whistleblowing management system
4.4 Whistleblowing management system
5 Leadership
5.1 Leadership and commitment
5.1.1 Governing body
5.1.2 Top management
5.2 Whistleblowing policy
5.3 Roles, responsibilities and authorities
5.3.1 Top management and governing body
5.3.2 Whistleblowing management function
5.3.3 Delegated decision-making
6 Planning
6.1 Actions to address risks and opportunities
6.2 Whistleblowing management system objectives and planning to achieve them
6.3 Planning of changes
7 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.3.1 General
7.3.2 Personnel training and awareness measures
7.3.3 Training for leaders and other specific roles
7.4 Communication
7.5 Documented information
7.5.1 General
7.5.2 Creating and updating documented information
7.5.3 Control of documented information
7.5.4 Data protection
7.5.5 Confidentiality
8 Operation
8.1 Operational planning and control
8.2 Receiving reports of wrongdoing
8.3 Assessing reports of wrongdoing
8.3.1 Assessing the reported wrongdoing
8.3.2 Assessing and preventing risks of detrimental conduct
8.4 Addressing reports of wrongdoing
8.4.1 Addressing the reported wrongdoing
8.4.2 Protecting and supporting the whistleblower
8.4.3 Addressing detrimental conduct
8.4.4 Protecting the subject(s) of a report
8.4.5 Protecting relevant interested parties
8.5 Concluding whistleblowing cases
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
9.1.2 Indicators for evaluation
9.1.3 Information sources
9.2 Internal audit
9.2.1 General
9.2.2 Internal audit programme
9.3 Management review
9.3.1 General
9.3.2 Management review inputs
9.3.3 Management review results
10 Improvement
10.1 Continual improvement
10.2 Nonconformity and corrective action
Bibliography
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Foreword
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Context of the organization
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the whistleblowing management system
4.4 Whistleblowing management system
5 Leadership
5.1 Leadership and commitment
5.1.1 Governing body
5.1.2 Top management
5.2 Whistleblowing policy
5.3 Roles, responsibilities and authorities
5.3.1 Top management and governing body
5.3.2 Whistleblowing management function
5.3.3 Delegated decision-making
6 Planning
6.1 Actions to address risks and opportunities
6.2 Whistleblowing management system objectives and planning to achieve them
6.3 Planning of changes
7 Support
7.1 Resources
7.2 Competence
7.3 Awareness
7.3.1 General
7.3.2 Personnel training and awareness measures
7.3.3 Training for leaders and other specific roles
7.4 Communication
7.5 Documented information
7.5.1 General
7.5.2 Creating and updating documented information
7.5.3 Control of documented information
7.5.4 Data protection
7.5.5 Confidentiality
8 Operation
8.1 Operational planning and control
8.2 Receiving reports of wrongdoing
8.3 Assessing reports of wrongdoing
8.3.1 Assessing the reported wrongdoing
8.3.2 Assessing and preventing risks of detrimental conduct
8.4 Addressing reports of wrongdoing
8.4.1 Addressing the reported wrongdoing
8.4.2 Protecting and supporting the whistleblower
8.4.3 Addressing detrimental conduct
8.4.4 Protecting the subject(s) of a report
8.4.5 Protecting relevant interested parties
8.5 Concluding whistleblowing cases
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
9.1.2 Indicators for evaluation
9.1.3 Information sources
9.2 Internal audit
9.2.1 General
9.2.2 Internal audit programme
9.3 Management review
9.3.1 General
9.3.2 Management review inputs
9.3.3 Management review results
10 Improvement
10.1 Continual improvement
10.2 Nonconformity and corrective action
Bibliography