ISO 37002 Introduction — Lesson 3: Report Assessment, Triage, Investigation, Response, Records, and Escalation

Learning Objectives

• Interpret the principles, requirements, roles, and dependencies shaping report assessment, triage, investigation, response, records, and escalation.
• Apply a repeatable workflow and produce a reviewable case assessment and response register.
• Evaluate normal operations, the exception where investigation operates differently from the approved method, and appropriate follow-up actions.

Detailed Topics

• Report Assessment within the context of ISO 37002 Introduction.
• Triage within the context of ISO 37002 Introduction.
• Investigation within the context of ISO 37002 Introduction.
• Response within the context of ISO 37002 Introduction.
• Records within the context of ISO 37002 Introduction.
• Escalation within the context of ISO 37002 Introduction.

Instructor Demonstration

The instructor traces a realistic case involving an organization designing a trusted speak-up process for employees, contractors, suppliers, and external stakeholders. The demonstration shows how to define scope and criteria, collect evidence, record decisions in case assessment and response register, and challenge the condition where investigation operates differently from the approved method.

Hands-On Exercise

Complete a controlled exercise for Report Assessment, Triage, Investigation, Response, Records, and Escalation. Establish responsibilities and acceptance criteria, examine the case where investigation operates differently from the approved method, reach a supported conclusion, and preserve the result in case assessment and response register.

1. Confirm the objective, scope, roles, criteria, and expected work product.
2. Perform the activity while recording assumptions, evidence, and decisions.
3. Test a normal case, the stated exception, and a follow-up condition.
4. Document conclusions, ownership, deadlines, escalation, and verification requirements.

Scenario Analysis

• Identify the requirement, principle, or control with the strongest influence on report assessment, triage, investigation, response, records, and escalation.
• Compare two defensible responses and explain their operational, risk, and evidence trade-offs.
• Determine how case assessment and response register should be approved, retained, reviewed, and updated.

Troubleshooting Guidance

Begin with the earliest point where expected practice and observed evidence diverge. Separate a missing record from an ineffective process, and distinguish role ambiguity from a control or competence failure. Treat “investigation operates differently from the approved method” as a hypothesis until the response is tested against the applicable criteria and intended outcome.

Validation Checklist

• The scope, roles, criteria, stakeholders, and intended outcome for report assessment, triage, investigation, response, records, and escalation are explicit.
• The case assessment and response register connects conclusions to objective, reviewable support.
• Normal operation, the stated exception, escalation, and follow-up were evaluated.
• Owners, due dates, verification methods, review triggers, and improvement actions are clear.

Lesson Outcome

Learners can apply Report Assessment, Triage, Investigation, Response, Records, and Escalation, explain the reasoning used, and defend the result through case assessment and response register.