Program for Training and Certification of
Compliance Investigator Professional Certificate
1. Project Background and Objectives
Against the backdrop of increasingly stringent global compliance governance, many standards (such as ISO 37301:2021 Compliance management systems – Requirements with guidance for use" and ISO 37001:2025 "Anti-bribery management systems - Requirements with guidance for use" clearly identify investigation as a core link in the operation of management systems. ISO/TS 37008:2023 Internal investigations of organizations - Guidance, as a specialized standard in the field of compliance investigations, provides a systematic and standardized operational framework for investigation work, serving as the core basis for enterprises to conduct compliance investigations currently.
To fill the gap in professional compliance investigation talents in the market and respond to the professional requirements for investigation work stipulated in ISO standards, this project is initiated under the leadership of the Compliance Investigator Association. It aims to cultivate compliance investigation talents with standard application capabilities and full-process practical skills through systematic training centered on ISO 37008. The association will exclusively conduct assessments and issue certificates, providing professional talent support for the construction of enterprise compliance systems and promoting the standardization and regularization of investigation work in the industry.
2. Training Targets
(1) In-service personnel in corporate compliance management, legal affairs, and risk control departments who need to enhance their investigation capabilities under the ISO 37008 standard and obtain authoritative certificates.
(2) Practitioners in professional institutions such as law firms and accounting firms who are engaged in compliance auditing and case investigation-related businesses.
(3) Fresh graduates or students in relevant majors such as law, management, and finance in colleges and universities who plan to engage in compliance investigation work and hope to reserve standard knowledge and professional certificates in advance.
(4) Staff in government supervision departments and public institutions who are responsible for corporate compliance supervision and case verification and need to master investigation methods specified in ISO standards.
3. Training Content Design
3.1 Standard and Theoretical Foundation Module (35 class hours)
(1) In-depth Interpretation of ISO 37008: A comprehensive analysis of the standard framework, including investigation principles (independence, objectivity, confidentiality, etc.), initiation conditions, full-process management (from clue acceptance to report output), investigation ethical norms, and risk prevention and control requirements, to ensure that trainees accurately grasp the core points of the standard.
(2) Laws and Regulations Related to Compliance: A systematic explanation of the provisions related to compliance investigations in the "Anti-Unfair Competition Law of the People's Republic of China" and the "Criminal Law of the People's Republic of China", as well as internationally accepted legal principles and practices for compliance investigations, clarifying the legal boundaries of investigation work.
(3) Basic Theories of Investigation: Covering the definition, classification, and legal effect of evidence, methods for constructing investigation logic, investigation risk assessment models, and core knowledge such as privacy protection and data security during the investigation process.
3.2 Practical Skills Module (45 class hours)
(1) Investigation Initiation and Preparation: Based on the requirements of ISO 37008, teach skills for accepting and preliminary evaluating case clues, methods for setting investigation objectives, and practical key points for formulating investigation plans (including personnel division, time planning, resource allocation, and budget control).
(2) Evidence Collection and Preservation:
• Traditional Evidence: Explain in detail the standardized processes of document retrieval and analysis, witness interviews (questioning skills, record preparation), and physical evidence preservation to ensure the legality and validity of evidence.
• Special Evidence: Focus on methods for extracting, preserving, and analyzing electronic data (emails, chat records, system logs, etc.) to solve difficulties in evidence collection in digital scenarios.
(3) Investigation Implementation and Control: In accordance with the process requirements of ISO 37008, train on progress control during the investigation process, cross-validation of information, and response strategies for emergencies (such as uncooperative respondents, risk of evidence loss).
(4) Investigation Analysis and Report Writing: Impart logical analysis skills for investigation data and information, as well as the structure design of investigation reports in line with ISO standards (fact statement, evidence chain sorting, conclusion derivation, rectification suggestions), ensuring that the reports are professional and persuasive.
3.3 Case and Practical Training Module (20 class hours)
(1) Case Analysis of ISO 37008 Application: Select typical cases of domestic and foreign enterprises conducting compliance investigations based on ISO 37008, and conduct in-depth analysis of case backgrounds, investigation difficulties (such as cross-departmental collaboration, complex clue verification), details of standard application, and lessons learned.
(2) Simulated Practical Training: Set up real-scenario tasks such as "employee violation clue investigation" and "supplier compliance issue verification". Trainees are divided into groups to complete the full-process practical operation from clue evaluation, plan formulation to evidence collection and report writing. Tutors provide on-site guidance and comment and optimize based on the ISO 37008 standard.
4. Training Methods
(1) Integration of Online and Offline: The theory and standard interpretation module adopts the form of "live broadcast + recorded broadcast" to support trainees in arranging study time flexibly; the practical skills and case practical training modules are conducted through offline centralized teaching, and the learning effect is enhanced through on-site drills, group discussions, and tutor demonstrations.
(2) Dual-Tutor Teaching Mode: Invite ISO 37008 standard experts certified by the Compliance Investigator Association to teach theory and standard content; employ compliance directors with more than 10 years of practical experience in corporate compliance investigations and former case investigators from supervision institutions as practical tutors to impart practical skills.
(3) Resource Empowerment: Provide trainees with exclusive learning materials such as the original text of the ISO 37008 standard, investigation templates (plan templates, report templates, interview record templates, etc.), and case databases.
5. Assessment and Certificate Issuance (Exclusively Implemented by the Compliance Investigator Association)
5.1 Assessment Organization
The Compliance Investigator Association establishes an exclusive assessment committee, which is responsible for designing the assessment plan, selecting assessment experts, supervising the assessment process, and approving the results to ensure the authority and fairness of the assessment.
5.2 Assessment Content
(1) Theoretical Assessment (Accounting for 40%): Conducted in a closed-book exam format, focusing on testing trainees' mastery of ISO 37008 standard clauses, compliance laws and regulations, and basic investigation theories. The question types include multiple-choice questions, multiple-select questions, and case analysis questions.
(2) Practical Assessment (Accounting for 60%): Trainees independently complete a simulated compliance investigation task and submit an investigation plan, evidence list, interview records, and investigation report. The assessment panel conducts a comprehensive evaluation based on the ISO 37008 standard from the aspects of task completion, process standardization, logical rigor, and report professionalism.
5.3 Certificate Issuance
Trainees who pass the assessment will be awarded the "Compliance Investigator Professional Certificate" by the Compliance Investigator Association. The certificate information can be queried on the association's official website, serving as an authoritative proof of an individual's ability to apply the ISO 37008 standard and professional level in compliance investigations.
6. Teaching Staff and Assessment Team
(1) Teaching Staff: Composed of certified lecturers from the Compliance Investigator Association, including ISO 37008 standard research experts, senior corporate compliance directors, and professors of compliance management in colleges and universities, ensuring the in-depth integration of theory and practice.
(2) Assessment Panel: Composed of association experts, practical tutors, and standard application consultants, all of whom have more than 5 years of experience in ISO standard implementation or compliance investigation assessment, and conduct assessment work in strict accordance with the assessment rules.
7. Application Tips
Applicants need to submit the Certificate of No Criminal Record.
8. Certificate Maintenance
After successfully obtaining the certificate, to ensure its continuous validity, applicants are required to complete 10 hours of follow-up learning and 3 hours of Peer-to-Peer communication within 1 year ("Annual Continual Education"). Only after meeting the above requirements can applicants continue to hold the certificate in the next year. Annual Continual Education can be exempted for the first year.
9. Certification Inquiry
The certificates are searchable within the website (see the "Certified" within the website).
10. Certification Operation
CE.center (http://www.ce.center), as one of the licensees in mainland China, is responsible for the certification operation within mainland China. For any questions, please contact assistant@ce.center.
For cooperation in other countries or regions, you may contact us by assistant@GRCinstitute.cn
