ISO 37301:2021 (CMS) Compliance Management Systems Lead Auditor Course

1. ISO 37301 and CMS Fundamentals : Introduces ISO 37301:2021, the purpose of a Compliance Management System, its structure, key concepts, scope and role in promoting effective compliance and organisational integrity.

2. Compliance Governance and Leadership : Examines organisational context, leadership commitment, compliance culture, responsibilities, accountability, independence of the compliance function and the integration of compliance into business processes.

3. Compliance Obligations and Risk Assessment : Covers the identification of applicable legal, regulatory and other compliance obligations, compliance risk assessment, risk prioritisation and the evaluation of controls designed to prevent or address noncompliance.

4. CMS Requirements and Audit Criteria : Develops understanding of ISO 37301 requirements, documented information, operational controls, compliance objectives, performance evaluation and the criteria auditors use when assessing a management system.

5. Audit Planning and Preparation : Covers audit objectives, scope, criteria, audit programmes, audit plans, risk-based sampling, document review, checklists, resource allocation and coordination with the organisation being audited.

6. Audit Execution and Evidence Collection : Develops skills in conducting opening meetings, interviews, document reviews, observation, sampling, evidence verification and evaluation while maintaining impartiality, confidentiality and professional conduct.

7. Audit Findings and Reporting : Examines the classification and recording of findings, evidence-based nonconformity statements, audit conclusions, report preparation, closing meetings and communication of results to relevant stakeholders.

8. Audit Leadership and Corrective Action Verification : Develops understanding of audit-team coordination, professional judgement, resolution of audit issues, corrective action evaluation, follow-up activities and verification of the effectiveness of remedial measures.

• Develops an understanding of ISO 37301:2021 and Compliance Management Systems.

• Builds skills in planning and preparing compliance audits.

• Strengthens evidence collection, sampling and interview techniques.

• Improves the ability to identify and document nonconformities.

• Develops professional audit reporting and communication skills.

• Promotes impartiality, confidentiality and ethical audit conduct.

• Strengthens understanding of corrective action and follow-up verification.

• Supports professional development in compliance, governance, risk management and auditing.

• Provides a structured opportunity to practise leading a simulated CMS audit.

This course is suitable for:

• Compliance officers and compliance managers.

• Internal auditors and management system auditors.

• Risk management and corporate governance professionals.

• Legal and regulatory compliance personnel.

• Quality and management system professionals extending into compliance auditing.

• Consultants supporting CMS implementation and evaluation.

• Professionals involved in ethics, corporate integrity and regulatory assurance.

• Experienced personnel preparing to lead compliance management system audits.

Learners benefit from prior knowledge of management systems, compliance obligations or auditing principles. Those new to auditing may require additional foundational study before undertaking independent audit assignments.

Assessment Format: Written knowledge examination supported by an applied audit case study, simulated audit exercise, nonconformity documentation and audit-report preparation.

Total Questions: 50 Questions for the proposed written examination, supplemented by practical audit assessment.

Passing Score: 70% in the written examination, together with satisfactory completion of all mandatory practical audit assessment criteria.

Duration: 90 Minutes for the written examination; the audit simulation and reporting exercise are assessed separately.

Certification: Learners who successfully complete the required assessments receive the HiQual UK ISO 37301:2021 (CMS) Compliance Management Systems Lead Auditor Course Certificate.

To deliver this Qualification, HiQual UK Approved ATPs must demonstrate the capability to deliver, assess, and internally quality assure qualifications in line with recognised regulatory principles and the expectations of the Regulated Qualifications Framework (RQF).

Approved centres must operate effective systems to ensure the validity, reliability, fairness, consistency, and security of assessment.

1. Centre Recognition and Legal Compliance

Centres must be formally recognised by HiQual UK prior to the delivery or assessment of any qualification. To maintain recognition, centres must: Be a legally constituted organisation operating in compliance with applicable legislation and regulatory requirements. Demonstrate effective governance, management oversight, and clear lines of accountability. Comply with all HiQual UK policies, procedures, and conditions of centre recognition. Notify HiQual UK promptly of any material changes that may affect delivery, assessment, or internal quality assurance arrangements.

2. Resources, Facilities, and Learning Environment

Centres must ensure that sufficient and appropriate resources are in place to support learning and assessment. This includes: Learning environments appropriate to the mode of delivery, including classrooms and, where applicable, specialist or practical facilities. Access to learning and assessment resources that enable learners to meet qualification outcomes. Secure systems for managing learner data, assessment records, and certification claims. Arrangements that support equality of access and reasonable adjustments for learners where required.

3. Staff Competence and Occupational Expertise

Centres must ensure that all staff involved in delivery, assessment, and internal quality assurance are competent and suitably qualified. Centres must: Appoint tutors with appropriate subject knowledge, teaching competence, and relevant occupational or professional experience. Ensure assessors are trained and competent in applying HiQual UK assessment requirements and standards. Appoint a qualified Internal Quality Assurer (IQA) responsible for monitoring assessment practice and decisions. Maintain records of staff qualifications, experience, training, and continuing professional development (CPD).

4. Assessment Practice and Internal Quality Assurance (IQA)

Centres must operate robust internal quality assurance systems to ensure assessment integrity. Centres must: Ensure assessment is valid, fit for purpose, and conducted in line with HiQual UK requirements. Implement effective IQA procedures to monitor assessor performance and confirm the consistency of assessment decisions. Maintain accurate, complete, and auditable records of learner registration, assessment evidence, and outcomes. Carry out regular internal reviews and standardisation activities to support continuous improvement.

5. Integrity, Risk Management, and Malpractice

Centres must take appropriate measures to protect the integrity of assessment. Centres must: Maintain policies and procedures for the prevention, identification, and management of malpractice and maladministration. Ensure secure handling, storage, and retention of assessment materials and learner evidence. Report any suspected or confirmed malpractice to HiQual UK in accordance with published procedures.

6. Health, Safety, Safeguarding, and Learner Protection

Centres must provide a safe, inclusive, and supportive learning environment. Centres must: Comply with applicable health and safety and safeguarding legislation. Conduct risk assessments for learning activities, particularly where practical or technical work is involved. Maintain procedures to safeguard learner welfare and wellbeing.

7. Learner Information, Support, and Fair Treatment

Centres must ensure learners are informed, supported, and treated fairly. Centres must: Provide clear and accurate information on programme requirements, assessment methods, and certification. Ensure learners receive timely and constructive feedback on assessment outcomes. Operate transparent complaints and appeals procedures aligned with HiQual UK requirements. Manage learner information securely in compliance with data protection legislation.

Successful learners may progress to:

• Further study in compliance management, corporate governance and regulatory risk.

• Advanced qualifications in risk management, internal auditing and management system auditing.

• Specialist training in anti-bribery management, information security, quality management or environmental management system auditing.

• Further professional development in audit programme management, audit-team leadership and compliance assurance.

• Career development toward compliance auditor, lead internal auditor, compliance consultant, CMS coordinator or compliance assurance manager roles, subject to experience and employer requirements.

Important: Qualification completion does not by itself establish eligibility to perform third-party certification audits. Certification bodies may have additional requirements for education, audit experience, technical competence, witnessing and formal auditor approval.