What is CLMS?

CLMS stands for Compliance Learning Management Software or Compliance Learning Management System. You may even see people substitute the word “Program” for software or system. Consider this as a simple definition: Compliance Management is a process for being able to prove that someone is in compliance with a requirement.

As an example, you have employees who work in a licensed establishment serving alcohol. It is a requirement in many provinces and states for an employer to provide education to their employees so they understand what they need to do to safely serve alcohol.

Another example, you have employees who work in a bank or financial institution. You may have requirements to provide education and training to your employees on how to prevent money laundering and fraud.

Your requirement as an employer is to provide this education and training. And in the case where you are meeting compliance, there is a burden of proof the employer needs to meet, which is to document the education process and provide some element of “proof of delivery”, or knowledge testing, or competency. And in some cases may go even further to have an actual sign off by the employee indicating their understanding and agreement to follow a policy or procedure(s) related to the training.

A CLSM covers 3 Gaps

  1. Controlled Access: when we are talking about our policy and procedures we may or may not want everyone to be able to see what we have so we are looking for some kind of controlled access which we can monitor. Simply posting materials online or leaving a copy in a lunch room is not enough for compliance.
  2. Testing: there has to be some way of ensuring there was knowledge transfer, competence, or retention and testing is one of the most commonly accepted methods of doing this. It is important to have a testing process with the necessary rigor and integrity to demonstrate learning compliance.
  3. Proof of Delivery: you may be a very nice person but when there is an incident or there is a compliance inspection or compliance audit, people are looking for evidence to support compliance. They want to see some kind of documentation, sign off “paper trail” (even if it is a paperless trail) that your learning and training program is in compliance.

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