ISO 37301:2021 Compliance Management Systems Foundation Level Training and Certification Program

Programme Summary

Build an understanding of compliance management using ISO 37301:2021. Participants connect compliance obligations, risk ownership and operational control evidence with responsibilities and performance measures. Exercises based on a regulated multi department business case develop requirement interpretation, evidence selection and gap recognition. The programme establishes a foundation for consistent compliance processes and accountable ethical business conduct and further implementation or auditor development.

Training Objectives

1 Explain compliance management requirements; 2 Connect requirements with operational responsibilities; 3 Recognise unassigned compliance obligations; 4 Select relevant implementation evidence; 5 Prepare for further practical development.

Learning Outcomes

1 Map obligations to accountable owners; 2 Evaluate operational compliance risks; 3 Specify evidence for key controls; 4 Review monitoring and investigation records; 5 Prioritise compliance improvement measures.

Target Audience

Compliance Directors; Compliance Managers; Risk Managers; Legal Counsel; Management System Coordinators.

Target Industries

Financial Services; Healthcare Services; Energy and Utilities; Telecommunications; Government Contracting.

Course Contents

• Module 1 Standard Purpose and Practical Application: Management system purpose and intended outcomes; Requirement guidance and evidence distinctions; Course case scope and learning responsibilities.
• Module 2 Compliance Context and System Boundaries: Organisational activities and interested parties; Compliance commitments and scope decisions; Operating context and climate relevance.
• Module 3 Identifying and Maintaining Compliance Obligations: Applicable requirements and reliable information sources; Obligation ownership and operational interpretation; Changes updates and communication arrangements.
• Module 4 Compliance Risk Assessment: Risk scenarios and affected activities; Likelihood consequence and risk prioritisation; Treatment ownership and reassessment triggers.
• Module 5 Governance Culture and Compliance Function: Leadership accountability and compliance policy; Function independence authority and access; Ethical culture and accountable management behaviour.
• Module 6 Implementing Operational Compliance Controls: Requirements translated into practical control activities; Supplier outsourcing and business partner interfaces; Documents approvals and exception handling.
• Module 7 Competence Communication and Raising Concerns: Role specific competence and awareness; Accessible reporting and protection arrangements; Information escalation and stakeholder communication.
• Module 8 Monitoring Investigation and Reporting: Control monitoring and compliance indicators; Investigation responsibilities and evidence handling; Reporting noncompliance and corrective action progress.
• Module 9 Compliance Assurance and Improvement: Internal audit and management review; Root cause and corrective action effectiveness; Changing obligations and continual improvement priorities.
• Module 10 Interpreting Requirements in Context: Mandatory requirements and proportionate application; Interfaces with applicable legal obligations; Supported judgements and unresolved interpretation issues.
• Module 11 Selecting Relevant Management System Evidence: Compliance obligations registers; Compliance risk assessments; Monitoring and investigation records.
• Module 12 Foundation Application Workshop: Map responsibilities within the supplied case; Match controls to relevant requirements; Explain gaps and practical next steps.

Assessment

• 60 single best answer questions, including applied scenarios; one mark per question.
• 90 minute invigilated digital examination with identity verification. Approved accessibility adjustments preserve the assessed competence.
• Clean standard text and supplied case documents permitted; internet, messaging and external AI tools prohibited.
• Individual applied assessment (45 minutes): Using a supplied regulated multi department business case, produce a compliance obligations map and risk priorities, link three controls to relevant requirements and explain one unresolved weakness.
• Assessment criteria: Accurate interpretation of compliance management requirements; Relevant use of compliance obligations registers; Clear connection between controls responsibilities and identified gaps.
• Pass each component separately: 45/60 written marks (75%) and at least 70% on the applied task.
• All mandatory criteria must pass: Do not fabricate evidence or knowingly present unsupported conformity conclusions; Protect confidential or personal information within supplied case material.
• Individual results and feedback are provided. One reassessment may follow coaching under the published enrolment terms.

Certification

• Successful learners receive a TQCSI Arabia digital Certificate of Successful Completion.
• The certificate records the learner name, exact programme title, teaching hours, completion date and unique verification reference.
• Verified identity, full attendance and separate written and applied passes are required; all mandatory critical criteria must be met.
• Proposed issue target: within 30 calendar days of approved results and settlement of applicable fees.
• Records assessed foundation knowledge of compliance management; it does not establish professional auditor status, independent personnel certification or organisational certification.
• Attendance confirmation may record completed hours for unsuccessful learners; it does not certify successful completion.

Programme Profile

Number of daysNumber of daysNumber of days

333

Total teaching hoursTotal teaching hoursTotal teaching hours

18 hours; breaks, pre course work and formal final assessments excluded.18 hours; breaks, pre course work and formal final assessments excluded.18 hours; breaks, pre course work and formal final assessments excluded.

Delegates allowedDelegates allowedDelegates allowed

Maximum 20 delegates.Maximum 20 delegates.Maximum 20 delegates.

Training prerequisitesTraining prerequisitesTraining prerequisites

No formal qualification required. Familiarity with compliance management activities and everyday business processes is recommended.No formal qualification required. Familiarity with compliance management activities and everyday business processes is recommended.No formal qualification required. Familiarity with compliance management activities and everyday business processes is recommended.

Pre course assignment and assessmentPre course assignment and assessmentPre course assignment and assessment

Complete a 20-minute diagnostic and identify how compliance obligations registers support a supplied operational case.Complete a 20-minute diagnostic and identify how compliance obligations registers support a supplied operational case.Complete a 20-minute diagnostic and identify how compliance obligations registers support a supplied operational case.

End of course assessmentEnd of course assessmentEnd of course assessment

60 question written exam (90 minutes) and individual applied task (45 minutes).60 question written exam (90 minutes) and individual applied task (45 minutes).60 question written exam (90 minutes) and individual applied task (45 minutes).

Passing criteriaPassing criteriaPassing criteria

75% written and 70% applied, passed separately; full attendance. All mandatory criteria must pass.75% written and 70% applied, passed separately; full attendance. All mandatory criteria must pass.75% written and 70% applied, passed separately; full attendance. All mandatory criteria must pass.