Compliance doesn’t happen by accident—it requires deliberate, well-structured planning and control. ISO 37301, the international standard for compliance management systems, emphasizes the need for systematic operational planning and control to ensure compliance requirements are integrated into daily business activities. In this blog, we explore what operational planning and control means under ISO 37301 and how organizations can implement it effectively.
Understanding Operational Planning and Control
Operational planning and control refers to the processes organizations use to plan, implement, and monitor compliance-related activities. It ensures that compliance obligations are identified, addressed, and managed as part of routine operations, minimizing the risk of non-compliance and legal exposure.
ISO 37301 Requirements
According to ISO 37301, organizations must:
• Plan how to meet compliance obligations and objectives.
• Establish criteria for processes and controls.
• Implement and control planned activities through policies, procedures, and responsible roles.
• Adapt controls as necessary to respond to changes in internal or external conditions.
• Maintain and retain documentation that supports the implementation and operation of these controls.
The Benefits of Effective Operational Planning and Control
1. Risk Mitigation: Identifies and addresses compliance risks before they escalate.
2. Accountability: Clearly defines roles and responsibilities for compliance.
3. Resource Optimization: Ensures efficient use of people, systems, and time.
4. Performance Monitoring: Enables tracking of compliance activities against objectives.
5. Continuous Improvement: Facilitates learning and adaptation through feedback loops.
Implementation Tips
• Integrate compliance planning into strategic and operational planning processes.
• Use compliance risk assessments to inform planning decisions.
• Develop documented procedures for key compliance processes.
• Assign owners for each compliance task and provide necessary training.
• Monitor and review activities regularly to ensure alignment with compliance objectives.
Conclusion
Operational planning and control form the engine of a functional compliance management system. By adopting the structured approach outlined in ISO 37301, organizations can embed compliance into their operations, reduce risk, and foster a culture of responsibility and integrity. With the right planning and control mechanisms in place, compliance becomes a proactive, organization-wide commitment.
For further information and to book your ISO37301compliance management systems survey please contact: Marcus J Allen at Thamer James Ltd. Email: [email protected]
Marcus has twenty years’ experience in delivering Governance, Risk and Compliance solutions to over two hundred organisations within the UK. Marcus holds the respected Diploma in Governance, Risk and Compliance from the International Compliance Association and holds a master’s degree in Management Learning & Change from the University of Bristol.
Marcus is a member of BSI G01 Governance Committee, this committee contributed to the formulation of the above Standard, in the UK.