ISO 37031:2021 - Foundation: Compliance System Management

CMS managers or coordinators; compliance, ethics, legal, risk, governance, internal control, quality, or process managers; members of top management and the governing body; internal auditors; managers and persons with responsibilities relating to compliance obligations and compliance risks.

No formal prerequisites. Basic knowledge of management systems, governance, risk management, internal control, or compliance obligations is recommended.

This training enables people involved in governance, compliance, risk management, internal control, or operational activities to understand the fundamentals of ISO 37301:2021 and the management system approach applied to compliance. It presents the requirements and recommendations necessary to establish, develop, implement, evaluate, maintain, and improve an effective and responsive compliance management system (CMS), based on the principles of good governance, proportionality, transparency, and sustainability, and aimed at promoting a culture of integrity and compliance.

By the end of the training, participants will be able to:

• Understand the purpose, scope, and benefits of a compliance management system (CMS)
• Explain the concepts, principles, and key requirements of ISO 37301:2021
• Identify compliance obligations and the needs and expectations of interested parties
• Describe compliance risk assessment, the responsibilities of the compliance function, and the associated controls
• Plan the initial steps for establishing, implementing, evaluating, maintaining, and continually improving a CMS

• Key concepts: compliance, compliance obligations, compliance risk, compliance culture, compliance function, governing body, interested parties, documented information, and continual improvement
• Context of the organization and scope of the CMS: internal and external issues, needs and expectations of interested parties, compliance obligations, compliance risk assessment, and CMS processes
• Leadership: governing body and top management, compliance policy, compliance culture, roles, responsibilities and authorities, independence of and access by the compliance function
• Planning: actions to address risks and opportunities, compliance objectives, and planning of changes
• Support: resources, competence, awareness, communication, and control of documented information
• Operation: operational planning and control, controls and procedures, raising concerns, investigations, and response to noncompliance
• Performance evaluation: monitoring, measurement, analysis and evaluation of compliance performance, sources of feedback, indicators, internal audit, and management review
• Improvement: nonconformity, corrective action, and continual improvement of the CMS

At the end of the training course, participants will be able to download a certificate of attendance issued by the House of Training from the Learner Portal.

Interactive presentation of the requirements and recommendations of ISO 37301:2021, examples relating to compliance obligations and compliance risks, guided discussions, and short exercises addressing the context of the organization, identification of compliance obligations, compliance risk assessment, compliance culture, controls, raising concerns, performance evaluation, and continual improvement of the CMS.