By The Compliance Reviews | 2013/11/10 21:58:28

合规审计官、合规管理体系审核员培训计划

Training Program of 

Compliance Auditors and Compliance Management System Auditors

三大红利来袭：

Three advantages of the training:

ü  风险管控刚需

Meeting inevitable requirements of risk control

ü  合规岗位赋能

Empowering professional capacity of compliance management

ü  合规蓝海业务

Learning how to develop and conduct the blue ocean business

一、背景

1. Background

ü  2018年7月1日，中国国家标准《合规管理体系 指南》正式生效

On July 1, 2018, China national standard Compliance management systems—Guidelines came into effect;

ü  2018年11月，国资委颁布《中央企业合规管理指引》

In November of 2018, State-owned Assets Supervision and Administration Commission promulgated Guidelines for Central State-owned Enterprises on the Compliance Management; 

ü  2018年12月，发改委等七部门联合发布了《企业境外经营合规管理指引》

In December of 2018, National Development and Reform Commission and other six departments jointly promulgated Guidelines for Enterprises on Overseas Compliance Management.

它们无一例外都指向风险与合规管理的一个重要技能——合规审计。缺少了这个技能，合规管理体系建设只能在低水平徘徊，要打怪升级到2.0或3.0版本是远远不可能的。

These documents all point to an essential skill for risk control and compliance management without exception—compliance audit.  Without this skill, the compliance management system will only be at a low level and cannot be upgraded to a higher stage.

合规审计是公司主动开展合规风险识别和隐患排查、发布合规预警、对违规行为整改最重要的手段之一，对合规审计人员的专业能力也提出了要求。

Compliance auditing is one of the most important means for companies to preemptively identify compliance risks, issue early warnings, and adopt remedial actions.  Therefore, compliance audit becomes an indispensable skill for compliance professionals. 

摩根斯坦利虽有其高管在中国行贿政府官员，但公司本身却在美国《反海外腐败法》下被免除处罚。美国司法部指出其之所以不处罚摩根斯坦利是因为其有十大最佳实践，而这十个最佳之一就是合规审计（对高危业务）。

Morgan Stanley was exonerated from corporate liabilities and punishment under the FCPA despite that one of its Chinese executives bribed governmental officials.  The Department of Justice of the U.S. listed ten best practices of Morgan Stanley and one of them is compliance auditing (of highly risky areas).

在此背景下，由中国合规网与天祥Intertek联合推出的人才培训计划，充分发挥各方优势，整合各方社会组织资源与专业知识技能资源，为全球企业合规人员、法律专员、高管、国家机关工作人员、律师等提供科学系统的培训。

In this context, The Compliance Reviews (www.compliance.reviews in English; www.ComplianceinChina.com in Chinese) and Intertek launched the Training Program of Compliance Auditors and Compliance Management System Auditors.  The program makes full use of the strong points of the launching institutes, integrating the organizational resources and institutional knowledges, to provide scientific and systematic training program on compliance audit for compliance personnel, legal specialists, senior executives, governmental officials, lawyers, etc.

二、总体目标

2. Purposes

通过专业系统地学习合规管理知识，为相关行业和企事业单位培训和输送一批政治坚定、业务过硬、值得信赖的具有风险意识和大局观念的合规管理专业人员。

With the systematic learning of compliance management knowledge, the program will provide certificate trainings on compliance auditing (and compliance management system) so that the concerned companies will have well-trained compliance auditors to perform compliance auditing as part of the functions of a robust compliance management system.

三、机构介绍

3. Introduction to training institutes

（一）中国合规网

(1) The Compliance Reviews

中国合规网，由科盈法律咨询（上海）有限公司以及上海欢声文化传播有限公司提供技术支持，以培育合规文化为宗旨，致力于以文化的软约束和持久力维持和提升合规执行效果，分享合规信息、定制合规课程、设立合规体系、输送合规人才。中国合规网专注于合规培训和咨询，具有丰富的合规培训和咨询经验及资源，协助企业道德与合规官深植企业诚信合规文化，实现由"要我合规"向"我要合规"的转变，10多年来一直在风险与合规领域辛勤耕耘，形成了有关风险与合规的系列产品与平台：

The Compliance Reviews, supported by Keying Legal Consultation (Shanghai) Co., Ltd. and Shanghai Cheering Cultural Communication Co., Ltd., aims to foster compliance culture and is committed to maintaining and improving compliance implementation effect for its corporate members.   In the past ten years, The Compliance Reviews has been working hard in the field of risk control and compliance management so as to provide compliance intelligence, develop compliance courses, establish compliance management system and train compliance professionals.  With focuses on compliance training and consultation, The Compliance Reviews has accumulated rich experience and resources in compliance training and consultation, assisting the fostering of ethics and compliance culture to the effect that the employees of the companies would choose to comply with compliance obligations voluntarily instead of being compelled to be compliant.  

（二）天祥Intertek

(2) Intertek

天祥集团是国内第一家由外资参与投资的第三方检测检验认证机构。Intertek是全球领先的全面质量保障服务机构，始终以专业、精准、快速、热情的全面质量保障服务，为客户制胜市场保驾护航。凭借在全球100多个国家的1,000多家实验室和分支机构、及43,000多名专业员工，Intertek正致力于以全面质量保障的服务理念重新定义行业。我们以超越传统的质量控制手段，打造创新和定制的保障、测试、检验和认证解决方案，为客户的运营和供应链带来全方位的安心保障。目前，天祥Intertek已经被众多国家和地区的认可机构和权威机构所认可，包括中国合格评定国家认可委员会（CNAS)、检验检测机构资质认定（CMA）、香港认可计划（HKAS）、英国认可服务组织（UKAS)等等。

Intertek group is the first third-party inspection and certification institution that is ever invested by non-Chinese institutes in China.  Intertek is the world's leading full-functioned quality assurance service organization.  It provides professional, accurate, fast and enthusiastic comprehensive quality assurance services to ensure customers winning the market.  With more than 1,000 laboratories and branches in more than 100 countries and more than 43,000 professional employees, Intertek is committed to redefining the industry with the service concept of total quality assurance.  Intertek surpassed the traditional means of quality control to create innovative and customized solutions for guarantee, test, inspection and certification, so as to provide customers with all-round security in their operation and supply chain.  At present, Intertek has been recognized by many authorized institutions and authorities in many countries and regions, including CNAS, CMA, HAKS, UKAS.

四、具体安排

4. Specific Schedule

（一）课程计划：

(1) Curriculum

A. 培训对象：企业合规部门或岗位专业人员、企业法务、业务人员、管理人员、以及专业律师。

A. Who should attend the training: Professionals of corporate compliance departments or positions, corporate lawyers, business executives, managerial personnel, and lawyers

B. 培训时间：2019年11月17日-11月23日（周日-周六，共计7天）。

B. Training time: November 17- 23, 2019 (Sunday-Saturday, 7 days in all)

C. 培训地点：上海市静安区场中路1988弄1516号。

C. Training place: 1516 Lane 1988, Changzhong Road, Jing'an District, Shanghai

D. 联合培训课程计划：

D. Agenda:

注：讲课人员可能会发生变动、以实际讲课时可以出席为准

Note: The lecturers may change subject to availability.

E. 培训课程介绍：

E. Introduction to the training courses:

本次人才培训计划的课程，我们为参训学员配备了顶级的专家团队授课。他们中既有中国标准化研究院的领导，也有主持ISO 19600《合规管理体系 指南》制定及修改的领导，也有经验丰富的涉外合规专业律师，还有第三方权威认证机构的专家，原海关执法关员，他们将结合自己多年的知识积累和行业经验，为参训学员提供从标准制定到实务操练全方位的讲解与分享。

In relation to the courses of training program, the program has formed a top-level expert team of lecturers, which include the leaders of China Institute of Standardization, the experts who preside over the formulation, revision and making of ISO 19600 Compliance Management Systems – Guidelines and the concerned Chinese standard, experienced international compliance lawyers, experts from authoritative certification bodies, and former governmental officers.  They will provide all-round training and lecturing on compliance auditing and the best practices.

国际标准化组织于2014年制定发布了ISO 19600《合规管理体系 指南》，可用于指导组织确定、运行、评价和改进合规管理体系，也可对已建立合规管理体系的组织改进合规管理提供指导。建立有效的合规管理体系虽然并不能杜绝违规的发生，但是能够降低违规发生的风险。在很多国家或地区，当发生违规时，组织和组织的管理者以组织已经建立并实施了有效的合规管理体系作为减轻、甚至免除承担相应责任的抗辩，有可能被行政执法机关或司法机关所接受，这对于中国企业在境内外的发展都尤为重要。

ISO 19600 Compliance Management Systems-Guidelines, formulated and issued by ISO in 2014, will be used to guide the determination, operation, evaluation and improvement of the compliance management system of organizations, and also provide guidance for the improvement of the compliance management system of different organizations.  Although the establishment of an effective compliance management system may not prevent the occurrence of violations, it can reduce the risk of violations.  In many countries or regions, when violations occur, if an organization has established and implemented a robust effective compliance management system, the organization may apply for exemption from or reduction in liabilities and punishment.

鉴于ISO 19600《合规管理体系 指南》在合规管理中的指导性地位，我们将以此为抓手，为学员进行详细且权威的解读，对如何进行合规管理体系建设和合规审计进行培训，并结合合规实务与学员进行交流探讨。同时，海关AEO认证是贸易合规的重要制度，中国海关已出台了可认证的标准，对《海关认证企业标准》的解读可以对企业合规工作的开展有所启发，其中很多共性的制度和规定可以成为合规审计的借鉴。

Because ISO 19600 Compliance Management Systems-Guidelines and the concerned domestic Chinese standard provide detailed and authoritative guidance in compliance management, the program will use, in combination of practices, the standards as the baseline for the training courses for compliance auditing (as well as compliance management system).  In the  meanwhile, the program also invited former governmental officers to lecture about how the governmental agency (such as the customs) would conduct and inspect auditing (such as Customs AEO certification). 

鉴于实务的不断变化，国际及国内标准的不断修订，我们也将与时俱进，不断完善相关课程设置，丰富课程内容和形式，力争在有限的时间里发挥出课程的最大价值。

In view of the continuous change of practice and the continuous revision of international and domestic standards, the program will keep abreast of the changes and improve the relevant curriculum, and also provide continued education to the trainees.

（二）赴美游学

(2) Study Tour to the U.S.

本次人才培训计划发起单位充分利用各方优势资源，为学员搭建进一步交流学习的平台，参加培训计划的学员可以选择自费在2020年春节期间赴美访问交流，备选访问机构包括国际组织、跨国企业等。

The program will also launch a study tour during the Spring Festival of 2020 so that the trainees could make a study tour (funded by the trainees themselves) to the US to visit some international organization, the headquarters of multinational companies. 

具体行程另行安排、通知。

Specific schedule will be arranged and notified separately.

五、讲师

5. Lecturers

（一）王益谊博士

(1) Dr. Wang Yiyi

王益谊博士，现任中国标准化研究院标准化理论战略研究所所长，中国国家标准GB/T 35770—2017/ISO19600：2014《合规管理体系 指南》工作组组长，也是国际标准组织ISO技术委员会TC309相关工作组联席主席，负责修订ISO 19600合规管理体系指南。王益谊博士参与起草了标准化工作导则、标准化工作指南等十余项基础国家标准。开展了标准化效益评价研究，承担了ISO理事会有关战略政策问题的研究，研究通过标准化推动政府管理创新的理论和方法，研究建设了行政审批标准体系，参与了《行政许可标准化指引（2016版）》的制定，作为主编出版了年度国际标准化发展研究报告。

Dr. Wang Yiyi is the director of Institute of Standardization Theory and Strategy, which is the sub-institute of China National Institute of Standardization.  Dr. Wang is also the leader of working group of China National Standard GB/T 35770-2017/ISO 19600:2014 Compliance Management Systems-Guidelines, and co-chair of relevant working group TC309 of ISO Technical Committee of International Standards Organization, responsible for revising ISO 19600 Compliance Management Systems-Guidelines.  Dr. Wang Yiyi participated in the drafting of more than ten basic national standards and carried out the research on standardization benefit evaluation, undertaken the research on strategic policy issues of the ISO Council, studied the theory and method of promoting government management innovation through standardization, studied the construction of the standard system of administrative examination and approval, participated in the formulation of the Instruction of Administrative Permission Standardization (2016 Edition), and published the annual International Standardization Development Research Report as the Chief Editor.

王益谊博士承担了我国标准体制与机制改革的系列重大问题研究，提出了完善技术标准体系、改革强制性推荐性标准、发展团体标准的总体思路和措施建议，作为主要成员参与起草了国务院发布的《深化标准化工作改革方案》；主持了标准与知识产权领域重要政策和机制的研究与建设，完成了《国家知识产权战略纲要》中标准与专利有关问题的研究，主持起草了《国家标准涉及专利的管理规定（暂行）》，并作为第一起草人制定了配套国家标准。

Dr. Wang Yiyi has undertaken a series of major research on the reform of China's standard system and mechanism, put forward the overall ideas, measures and suggestions for improving the technical standard system, reforming the mandatory recommended standards, and developing the group standards.  Dr. Wang participated in the drafting of Reform Plan for Deepening Standardization issued by the State Council as the main member.  Dr. Wang Yiyi presided over the research and construction of important policies and mechanisms in the field of standards and intellectual property, completed the research on the issues related to standards and patents in Strategic Outline of National Intellectual Property, presided over the drafting of Administrative Regulations on national standards involving patents (Provisional), and formulated supporting national standards as the first drafter.

（二）Bartosz Makowicz博士

(2) Dr. Bartosz Makowicz

Bartosz Makowicz博士是“奥德河畔法兰克福欧洲大学”法学院的一名大学教授。他是Viadrina合规中心（跨学科研究中心和道德、合规和诚信智囊团，位于法兰克福）的创始人和主管。他是透明国际德国咨询委员会的成员，也是德国合规研究所科学委员会的主席。

Dr. Bartosz Makowicz is a university professor at the Faculty of Law, European-University Viadrina in Frankfurt (O.), Germany.  He is the founder and director of the Viadrina Compliance Center, which is an interdisciplinary research center and a think-tank for Ethics, Compliance, and Integrity, based in Frankfurt (O.).  He is a member of the Advisory Council of Transparency International Germany and the Chairman of the Scientific Council of the German Compliance Institute.

Bartosz博士曾担任几家公司和政府（其中包括联邦国防政府）的合规培训师和顾问。他曾任国际标准化组织技术委员会309德国代表团团长，参与制定了ISO 19600合规管理体系和ISO 37001反贿赂管理体系。

He has been the trainer and advisor on Compliance to several companies and governments among them the Federal Government of Defense.  He has been the Head of Delegation of Germany to Technical Committee 309 of the International Organization of Standardization, developing ISO 19600 Compliance Management Systems and ISO 37001 Anti-Bribery Management Systems.

Bartosz博士出版了关于合规、道德和诚信的100多本出版物。2018年，他推出了年度出版物“全球道德，合规与诚信年鉴”。

Bartosz is an author of over 100 publications on compliance, ethics, and integrity.  In 2018, he launched the annual publication “Yearbook of Global Ethics, Compliance & Integrity”.  He gave more than 100 speeches at national and international conferences.  He speaks fluently English, German, French, and Polish.

（三）陈立彤律师

(3) Henry Chen

中国律师、美国纽约州律师、福特公司前亚太区合规总监；香港国际仲裁中心仲裁员、国际风险与合规协会副会长、国际标准组织ISO技术委员会TC309相关工作组成员，作为中国代表团成员参与制定组织治理、合规管理体系、反贿赂管理体系、法律风险管理等ISO标准并担任中国国家标准《合规管理体系指南》工作组副组长、担任中兴康讯的独董及出口委员会委员;入选司法部“全国千名涉外律师人才名单”。

Mr. Chen is a Chinese lawyer and New York State Attorney.  Mr. Chen was AP Compliance Director of Ford Motor Company.  He is also Arbitrator of Hong Kong International Arbitration Centre, Vice Chairman of International Risk and Compliance Association, and the member of TC309 working group of ISO Technical Committee of International Standards Organization.  As a member of the Chinese delegation, Mr. Chen participated in the formulation of ISO standards, such as organizational governance, compliance management system (such as ISO19600 Compliance Management System - Guidelines), anti-bribery management system (such as ISO37001 Anti-bribery Management System), legal risk management and served as the Vice Chairman of the Working Group of China National Standard Compliance Management Systems-Guidelines, the independent director of ZTE KANGXUN and a member of the export Committee.  Mr. Chen is appointed by the Ministry of Justice of China as a member of "One Thousand Foreign-oriented Expert Lawyers".

陈立彤律师著有《商业贿赂风险管理》、《企业国际化进程中合规风险的爆发与防控》。

Mr. Chen is the author of the book Commercial Bribery Risk Management and the book Compliance Risks of Enterprises in Globalization: Outbreak and Control.

（四）雒宏伟博士

(4) Dr. Luo Hongwei

雒宏伟博士，Intertek天祥集团体系认证部华北区总经理、新产品经理、ISO 19600和ISO 37001项目经理，也是国内唯一的ISO 19600和ISO 37001审核员培训教师，组织了国内首届ISO 19600和ISO 37001审核员培训班，主持并参与ISO 37001和ISO 19600相关课程的开发，ISO9001/ISO14001/OHSAS18001主任审核员、验证审核员，十几年国有特大型企业管理经验。在合规管理体系方面进行了深入研究，在国家级杂志上发表了十几篇论文。

Dr. Luo Hongwei is the General Manager and New-product Manager of System Certification Department of Intertek Group in north China and the project manager of ISO 19600 and ISO 37001.  Dr. Luo is one of the earliest training lecturers for auditing compliance management system under ISO 19600 and ISO 37001 in China.  Dr. Luo developed and organized the first training courses on auditing compliance management system under ISO 19600 and ISO 37001.  Dr. Luo is also the Chief Auditor Verification Auditor under ISO9001/ISO14001/OHSAS18001 and has rich management experience of large state-owned enterprises for a decade.  Dr. Luo has also carried out in-depth research and published more than ten dissertations with national journals.

（五）朱帅

(5) Simon Zhu

朱帅律师曾是海关执法关员，在企业管理、加工贸易监管、通关监管、运输工具监管等多个岗位工作，专注于海关与国际贸易专项合规。朱帅曾参加海关总署第四期企业认证人员培训，具有海关AEO认证资格，也曾参与海关总署单耗标准制定工作，在加工贸易与保税监管、AEO制度及其认证标准等海关事务合规方面具有扎实的理论基础和实操经验。朱帅律师在此次培训中，将结合自身多年海关监管工作经验，通过介绍海关AEO认证和典型案例，分享执法心得。从执法人员的角度来审视标准的符合性测试和合规审计工作的开展，从而为企业开展合规工作提供监管思路和执法视角。

Mr. Zhu was once a customs officer, working in enterprise management, process trade supervision, customs clearance supervision and transportation supervision and focused on the special compliance of customs and international trade.  Mr. Zhu participated in the training of enterprise certification personnel of the General Administration of Customs, with the qualification of Customs AEO certification.  He also participated in the formulation of national unit consumption standards, and has abundant experience in the compliance of customs affairs such as process trade and bonded supervision, AEO systems.  In this training, Mr. Zhu will share the experience of law enforcement via introducing AEO certification and conduct case studies based on years of experience in customs supervision.  Mr. Zhu will lecture about the auditing work from the perspective of law enforcement personnel so as to provide ideas for enterprises to carry out compliance auditing.

六、参考资料

6. References

（一）《企业国际化进程中合规风险的爆发与防控》（陈立彤著）（中国工商出版社 2019年10月第一版）；

（二）《商业贿赂风险管理》（陈立彤著）（中国经济出版社 2014年4月第一版）；

（三）《中国认证认可》2018年7期“ISO19600诞生的背景和意义”、“合规管理体系的基本原则“、“合规管理体系要素之间的逻辑关系”；

（四）《中国认证认可》2018年10期“合规管理体系过程分析”；

（五）《中国认证认可》2019年2期“如何识别合规义务”；

（六）《海关认证企业标准》（海关总署2018年第177号公告）；

（七）其他。

(1) Compliance Risks of Enterprises in Globalization: Outbreak and Control (Authored by Henry Chen) ;

(2) Commercial Bribery Risk Management (Authored by Henry Chen) ;

(3) Background and Significance of the Advent of ISO 19600, Basic Principles of Compliance Management System, Logical Relationship Between Elements of Compliance Management System, published in China Certification and Accreditation, Issue 7, 2018;

(4) Process Analysis of Compliance Management System, published in China Certification and Accreditation, Issue 10, 2018;

(5) How to Identify Compliance Obligations, published in China Certification and Accreditation, Issue 2, 2019;

(6) Customs Certification Enterprise Standard (Notice of 177, 2018 by General Administration of Customs);

(7) Others.

七、证书

7. Certificates

参加本期人才培训计划并通过考试的学员，将同时获得由国际风险与合规协会和Intertek颁发的如下资质证书：

The trainees who participated in the training program and passed the examination will obtain the following qualification certificates issued by International Risk and Compliance Association (IRCA) and Intertek.

（一）风险与合规审计官（Risk and Compliance Auditor）培训合格证书：

(1) Certificate of Risk and Compliance Auditor:

由国际风险与合规协会（International Risk and Compliance Association）（以下简称“IRCA”）颁发。证书持有人可以在一年期内免费成为国际风险与合规协会的会员并参加相应的持续教育活动。证书持有人在加入相关企业成为其风险与合规审计官的时候可以获得IRCA的推荐，并也可申请成为IRCA的专兼职审核员。

The Certificate of Risk and Compliance Auditor will be issued by IRCA.  The certificate holder can become a member of IRCA and participate in the corresponding continued education for one year with no annual fee paid.  Certificate holders can be recommended by IRCA to become its Risk and Compliance Auditor of the concerned enterprises, and can also apply for its full-time and part-time auditor of IRCA.

关于国际风险与合规协会的内容请参见www.irca.academy。

For the details about IRCA, please refer to www.irca.academy.

（二）合规管理体系审核员培训合格证书：

(2) Certificate of Compliance Management System Auditor:

由Intertek颁发，证书持有人可以从事合规管理体系的咨询和培训工作，也可申请成为Intertek的专兼职审核员，代表Intertek 对企业合规管理体系符合性评价和以后的合规管理体系认证工作。

The Certificate of Compliance Management System Auditor is issued by Intertek.  The certificate holder can engage in the consultation and training of the compliance management system, and can also apply to become a full-time and part-time auditor of Intertek, representing Intertek to evaluate the compliance of enterprises’ compliance management system and the subsequent certification of the compliance management system.

八、报名费（含税）

8. Application expenses (including tax fee)

¥25,000元/人/期。

¥25,000 for one person.

费用包含：材料费；会务费；餐费（11月17日至11月23日午餐费）；其他。

（不含学员住宿和往返交通费。）

The expenses include materials expenses, meeting expenses, lunch expenses, etc. from November 17 to 23, but exclude accommodation and round-trip transportation.

九、报名方式

9. Application method

报名邮箱：info@compliance.com.cn

报名截止日期：2019年11月10日18:00

收款账户信息：（请于收到确认邮件后的5个工作日内将报名费汇至指定账户）

注意：报名时请使用公司邮箱，并提供姓名+单位+职务+联系方式。

      报名成功确认以电子邮件回复为准。

Please send your application to the email: info@compliance.com.cn.

Please send your application before 18:00 of November 10, 2019.

Regarding what account to remit money, please remit the application fee to the designated account within 5 working days after receiving the confirmation email.

Please use company email when making application and provide student name, firm name, position and contact information.  

The successful application is subject to the confirmation of the reply email.