ISO 37301 Compliance Management System – Lead Auditor Training Course.
What is ISO 37301?
ISO 37301 is a Type A management system standard which sets out the requirements and provides guidelines for establishing, developing, implementing, evaluating, maintaining, and continually improving a compliance management system (CMS). A CMS provides organizations a structured approach to meet all compliance obligations, i.e., requirements that they mandatorily have to comply with such as laws, regulations, court rulings, permits, licenses, as well as those that they voluntarily choose to comply with such as internal policies and procedures, codes of conduct, standards, and agreements with communities or NGOs.
ISO 37301 can be applied to all organizations, regardless of their size, nature, or complexity of activity. CMS is based upon the principles of integrity, good governance, proportionality, transparency, accountability, and sustainability.
ISO 37301 Lead Auditor
Why should you attend?
The PECB Certified 37301 Lead Auditor training course enables you to develop the necessary competence to perform compliance management system (CMS) audits by applying widely recognized audit principles, procedures, and techniques.
Many organizations seek competent auditors to determine whether their policies, procedures, and controls adhere to ISO 37301 requirements. This training course aims to help you complete these tasks successfully and intends to reflect the importance of effective CMS audits. In addition, this training course aims to strengthen your knowledge and skills to plan and carry out CMS audits based on the guidelines for auditing management systems provided in ISO 19011 and the certification process described in ISO/IEC 17021-1.
This training course can potentially qualify you to conduct audits on behalf of conformity assessment bodies.
The exercises, quizzes, and case studies provided in this training course are designed to help you practice the most important aspects of a CMS audit: ISO 37301 requirements, auditing principles, tools and techniques used to obtain evidence, leading a team of auditors, conducting interviews with auditee, reviewing documented information, drafting nonconformity reports, and preparing the final audit report.
After successfully completing the training course, you can sit for the exam which is designed to measure your knowledge and skills regarding CMS audits. If you successfully pass the exam, you can apply for the “PECB Certified ISO 37301 Lead Auditor” credential. The “PECB ISO 37301 Lead Auditor” certification validates your professional capabilities and demonstrates that you have the knowledge and skills to audit a CMS based on ISO 37301.
Who should attend?
The ISO 37301 Lead Auditor training course is intended for:
- Auditors seeking to perform and lead CMS audits
- Managers or consultants seeking to master the CMS audit process
- Individuals responsible for maintaining conformity to ISO 37301 requirements in an organization
- Technical experts seeking to prepare for a CMS audit
- Expert advisors and compliance officers
Learning objectives
This training course enables you to:
- Understand the main concepts of a compliance management system (CMS) and its processes based on ISO 37301
- Acknowledge the relationship between ISO 37301 and other standards and regulatory frameworks
- Understand the auditor’s role in planning, leading, and following up on a CMS audit in accordance with ISO 19011
- Interpret the requirements of ISO 37301 in the context of a CMS audit
- Plan an audit, lead a team of auditors, draft nonconformity reports, and follow up on an audit
- Act with due professional care during an audit
Educational approach
This training course is participant-centered and contains:
- Theories, approaches, and best practices used in ISO management system audits
- Lecture sessions illustrated with examples based on case studies that were inspired by real events
- Practical exercises based on a case study which includes role-playing and discussions
- Interaction between participants by means of questions and suggestions
- Quizzes with stand-alone questions and scenario-based questions, tailored to prepare the participants for the certification exam
Prerequisites
A fundamental understanding of ISO 37301 requirements (or ISO 19600 guidelines) for a CMS and a comprehensive knowledge of audit principles.
Course agenda
- Day 1: Introduction to the compliance management system (CMS) and ISO 37301
- Day 2: Audit principles and the preparation for and initiation of an audit
- Day 3: On-site audit activities
- Day 4: Closing of the audit
- Day 5: Certification exam
Examination
This course is taught in partnership with PECB. The “PECB Certified ISO 37301 Lead Auditor” exam fully meets the requirements of the PECB Examination and Certification Program (ECP). It covers the following competency domains:
- Domain 1: Fundamental concepts and principles of a compliance management system
- Domain 2: Compliance management system requirements
- Domain 3: Fundamental audit concepts and principles
- Domain 4: Preparing an ISO 37301 audit
- Domain 5: Conducting an ISO 37301 audit
- Domain 6: Closing an ISO 37301 audit
- Domain 7: Managing an ISO 37301 audit program
For specific information about exam type, languages available, and other details, please visit the List of PECB Exams and the Examination Rules and Policies.
Certification
After successfully completing the exam, you can apply for one of the credentials shown on the table below. You will receive a certificate once you comply with all the requirements related to the selected credential.
For more information about the ISO 37301 certifications and the PECB certification process, please refer to the Certification Rules and Policies.
The requirements for PECB ISO 37301 Auditor certifications are as shown in the table below:
| Credential | Exam | Professional experience | MS audit/assessment experience | Other requirements |
| PECB Certified ISO 37301 Provisional Auditor | PECB Certified ISO 37301 Lead Auditor exam, or equivalent | None | None | Signing the PECB Code of Ethics |
| PECB Certified ISO 37301 Auditor | PECB Certified ISO 37301 Lead Auditor exam, or equivalent | Two years, of which one in compliance management | At least 200 hours of audit activities | Signing the PECB Code of Ethics |
| PECB Certified ISO 37301 Lead Auditor | PECB Certified ISO 37301 Lead Auditor exam, or equivalent | Five years, of which two in compliance management | At least 300 hours of audit activities | Signing the PECB Code of Ethics |
| PECB Certified ISO 37301 Senior Lead Auditor | PECB Certified ISO 37301 Lead Auditor exam, or equivalent | Ten years, of which seven in compliance management | At least 1,000 hours of audit activities | Signing the PECB Code of Ethics |
Note: PECB certified individuals who possess both the Lead Implementer and Lead Auditor credentials are qualified for the respective PECB Master Credential, given they have taken 4 additional Foundation Exams related to this scheme. For more information about the Foundation Exams and the overall Master Requirements, please go to PECB Master Credentials.
To be considered valid, the audit activities should follow best audit practices and include the following:
- Planning an audit
- Managing an audit program
- Drafting audit reports
- Drafting nonconformity reports
- Drafting audit work documents
- Reviewing documented information
- Conducting on-site audit
- Following up on nonconformities
- Leading an audit team
General Information
- Certification and examination fees are included in the price of the training course
- PECB will provide 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.
- In case of exam failure, the candidate can retake the exam once for free within 12 months following the initial exam date.
For additional information, please contact us at info@globalskillsfactory.fi
