ISO 37301 Lead Auditor
The ISO 37301 Lead Auditor training course equips participants with the knowledge and skills needed to plan, conduct, and manage audits of a Compliance Management System (CMS) based on ISO 37301. This standard provides a framework for organizations to establish a culture of compliance, mitigate risks, and meet regulatory requirements.
Description
Through interactive lectures, case studies, and practical audit exercises, participants will gain expertise in applying audit principles, procedures, and techniques in accordance with ISO 19011 (Guidelines for Auditing Management Systems) and ISO/IEC 17021 (Requirements for Certification Bodies). By the end of the course, attendees will be prepared to conduct first-party (internal), second-party (supplier), and third-party (certification) audits, as well as take the ISO 37301 Lead Auditor certification exam.
About This Course
Upon completing this course, participants will be able to:
- Understand the ISO 37301 standard and its requirements for an effective Compliance Management System (CMS).
- Master the principles, processes, and best practices of compliance audits.
- Learn how to plan, conduct, and manage CMS audits in accordance with ISO 19011 and ISO/IEC 17021.
- Develop the skills to assess compliance policies, controls, and risk management processes within an organization.
- Identify nonconformities, analyze audit findings, and recommend corrective actions.
- Manage an audit team and effectively communicate audit results to stakeholders.
- Prepare for and pass the ISO 37301 Lead Auditor certification exam.
Course Agenda
Day 1: Introduction to ISO 37301 and Compliance Auditing
- Overview of ISO 37301 and its benefits
- Understanding the structure, principles, and requirements of a CMS
- Key compliance risks and regulatory requirements
- Introduction to auditing principles, methodologies, and ISO 19011 guidelines
Day 2: Audit Planning and Preparation
- Understanding the role of a lead auditor
- Planning an audit based on risk-based thinking
- Audit scope, objectives, and criteria selection
- Conducting document review and audit checklist preparation
- Roles and responsibilities of the audit team
Day 3: Conducting and Managing CMS Audits
- Conducting on-site audits: opening meetings, interview techniques, and evidence collection
- Evaluating compliance effectiveness and identifying nonconformities
- Writing clear and actionable audit findings
- Communicating audit results and managing difficult audit situations
- Preparing the audit report and presenting findings to management
Day 4: Certification Exam Preparation and Final Audit Review
- Review of key audit concepts and case studies
- Corrective actions and continual improvement in compliance management
- Best practices for becoming a successful ISO 37301 Lead Auditor
- Preparation for the ISO 37301 Lead Auditor certification exam
- Exam session and course wrap-up
Assessment
Delegates sit a combined exam, consisting of in-course quizzes and exercises, as well as a final 12 question, essay type exam on Day 3 of the course. The overall passing score is 70%, to be achieved within the 150 minute time allowance.
Exam results are provided within 24 hours, with both a Certificate and a digital badge provided as proof of success.
Prerequisites
An understanding of ISO 37301 requirements (or ISO 19600 guidelines) for a CMS.
What's Included?
- Certification fees are included in the exam price.
- Training material of over 450 pages of information and practical examples.
- An attestation of course completion worth 31 CPD (Continuing Professional Development) credits will be issued to participants who have attended the training course.
Who Should Attend?
This course is ideal for professionals involved in auditing, compliance, and risk management, including:
- Compliance auditors and officers
- Internal and external auditors
- Compliance managers and risk professionals
- Regulatory affairs and corporate governance professionals
- Members of audit teams and consultants
- Individuals seeking to become ISO 37301 Lead Auditors
Accreditation
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Provided by
This course is Accredited by NACS