Courses, Governance, Risks and Compliance

Training Overview:

The ISO 37301 Lead Auditor Course is designed to equip participants with the knowledge and skills required to conduct first, second, and third-party audits of compliance management systems (CMS) against the ISO 37301 standard. The course provides in-depth training on auditing principles, techniques, and best practices, focusing on assessing an organization’s compliance management system in accordance with ISO 37301 requirements. Participants will learn how to plan, execute, report, and follow up on audits while maintaining impartiality and accuracy.

Target Audience:

  • Compliance Officers and Managers
  • Internal Auditors and External Auditors
  • Quality Assurance Professionals
  • Legal and Regulatory Affairs Managers
  • Risk Management Professionals
  • Consultants and Individuals aiming to become ISO 37301 Lead Auditors

Reference Standards:

  • ISO 37301:2021 Compliance Management Systems — Requirements with guidance for use
  • ISO 19011:2018 Guidelines for Auditing Management Systems
  • ISO/IEC 17021-1:2015 Conformity Assessment — Requirements for bodies providing audit and certification of management systems

Course Objectives:

By the end of this course, participants will be able to:

  1. Understand the structure and requirements of ISO 37301.
  2. Apply the principles, procedures, and techniques of auditing a compliance management system.
  3. Plan, conduct, report, and follow up on CMS audits in compliance with ISO 37301.
  4. Evaluate the effectiveness of an organization’s compliance management system.
  5. Lead an audit team and manage the audit process from initiation to conclusion.
  6. Identify and report nonconformities and recommend improvements in compliance management.

Learning Outcomes:

Participants will be able to:

  • Interpret the requirements of ISO 37301 and how they apply to the audit process.
  • Develop and implement an audit plan based on ISO 37301 standards.
  • Conduct audits effectively, ensuring all aspects of the compliance management system are evaluated.
  • Compile audit reports that accurately reflect the findings and provide clear recommendations.
  • Understand the roles and responsibilities of a lead auditor in ensuring audit integrity and impartiality.
  • Lead and manage an audit team, ensuring audits are conducted efficiently and within scope.

Course Content:

  • Introduction to Compliance Management Systems (CMS) and ISO 37301
    • Overview of compliance management principles
    • Purpose and structure of ISO 37301
    • The role of a compliance management system within an organization
  • ISO 37301 Requirements
    • Detailed examination of the standard’s clauses
    • Understanding the mandatory requirements and guidance
    • Application of ISO 37301 in various organizational contexts
  • Fundamentals of Auditing
    • Introduction to auditing principles as per ISO 19011
    • Types of audits: internal, external, first, second, and third-party audits
    • The role of the auditor and lead auditor
  • Audit Planning and Preparation
    • Developing an audit plan
    • Determining audit scope and objectives
    • Preparing audit checklists and tools
  • Audit Execution
    • Conducting opening meetings
    • Gathering and verifying audit evidence
    • Interviewing techniques and auditing practices
  • Nonconformity Identification and Reporting
    • Identifying nonconformities against ISO 37301
    • Classifying and documenting nonconformities
    • Writing clear and actionable audit reports
  • Audit Reporting and Follow-Up
    • Compiling and presenting audit findings
    • Conducting closing meetings
    • Following up on corrective actions and audit outcomes
  • Lead Auditor Responsibilities
    • Managing audit teams
    • Ensuring audit consistency and quality
    • Conflict resolution and maintaining auditor independence
  • Practical Audit Exercises
    • Case studies and role-playing exercises
    • Mock audits and scenario-based assessments
    • Group discussions and problem-solving activities
  • Examination and Certification
    • Final assessment covering the course content
    • Certification process for ISO 37301 Lead Auditor

 Duration: 5 days

Training Methodologies

  • Case Study
  • Individual Exercises
  • Role Play
  • Group Exercises
  • Group Presentation
  • Examination