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ISO 37301 Compliance Management Systems Lead Auditor Training Course Outline
Module 1: Introduction to ISO 37301
- Scope
- Normative References
- Terms and Definitions
Module 2: Overview of Compliance
- What is Compliance?
- Compliance Types
Module 3: Compliance Department
- What is Compliance Monitoring?
- Department Members
- Functions of Compliance Officer
- Common Areas of Compliance
Module 4: Compliance Management System (CMS)
- Compliance Management
- Compliance Management System
- Elements
- Who is Responsible for Compliance Management?
- Risk-Based Compliance Management Solutions
Module 5: Context of the Organisation
- Understanding the
- Organisation and its Context
- Needs and Expectations of Interested Parties
- Determining the Scope of the Compliance Management System
- Compliance
- Management System
- Obligations
- Risk Assessment
Module 6: Leadership
- Leadership and Commitment
- Compliance Policy
- Roles, Responsibilities, and Authorities
Module 7: Planning
- Actions to Address Risks and Opportunities
- Compliance Objectives and Planning to Achieve Them
- Planning of Changes
Module 8: Compliance Audit
- Purpose
- How are Compliance Audits Conducted?
- Internal Vs Compliance Audit
- Compliance Audit Procedures
- Understanding Compliance Auditing
- General Principles
Module 9: Compliance Audit Plan
- Audit Universe and Annual Compliance Audit Plans
- Apex Auditable Entities and Audit Units
- Risk Profiling
- Annual Compliance Audit Plans
- Preparing
- Components
Module 10: Support
- Resources
- Competence
- Awareness
- Communication
- Documented Information
Module 11: Operation
- Operational Planning and Control
- Establishing Controls and Procedures
- Raising Concerns
- Investigation Processes
Module 12: Performance Evaluation
- Monitoring, Measurement, Analysis, and Evaluation
- Internal Audit
- Management Review
Module 13: Planning Compliance Audits
- Planning for Individual Compliance Audits
- Scope of Audit
- Compliance Audit Objectives
- Criteria
- Materiality
- Risk Assessment
- Compliance Auditing in Digital Environment
- Team Composition
- Intimation to the Auditable Entity
Module 14: Create Effective Compliance Programme
- Key Elements of an Effective Compliance Programme
- Determine Your Compliance Management System
- Consequences of Non-Compliance
- Reduce Risk
- Steps to Create an Effective Compliance Programme
Module 15: Compliance Monitoring
- Monitoring and Auditing
- Framework for Monitoring
- Monitoring Techniques
Module 16: Improvement
- Continual Improvement
- Nonconformity and Corrective Action
Module 17: Compliance Auditor
- Who is a Compliance Auditor?
- Responsibilities
- Requirements
Module 18: Conducting Compliance Audits
- Audit Evidence
- Gathering and Evaluating Evidence
- Documentation
- Communication with the Auditable Entity
Module 19: On-Site Audit Activities
- Opening Meeting
- Document Review
- Detailed Site Inspection
- Staff Interview
- Review Audit Evidence
- Closing Meeting
Module 20: Reporting Compliance Audits
- Introduction
- Forms and Content of Reports
- Inspection Reports
- Departmental Appreciation Note
- Compliance Audit Report
- Follow Up
Prerequisites
There are no formal prerequisites in this ISO 37301 Lead Auditor training course.
Audience
This training course is suitable for anyone who wants to gain in-depth knowledge of ISO 37301 Lead Auditor successfully.
ISO 37301 Compliance Management Systems Lead Auditor Training Course Overview
ISO 37301 Compliance Management Systems specifies requirements for developing, continually improving, and maintaining an effective compliance management system. It helps to understand compliance policies and requirements, and reviews operations to ensure to fulfil duties of business processes. A compliance management system is essential for everyone because it helps individuals to describe in detail how to configure and develop a positive culture of compliance. It enables individuals to responsible for maintaining conformity to ISO 37301 requirements in an organisation. This training course will help the delegates manage their organisation develop strong and valuable relationships with regulators and Improve business opportunities and sustainability. This obtained information will conduct their career profile and excellent gain professional growth and expand career opportunities.
In this 5-day ISO 37301 Compliance Management Systems Training course, delegates will gain comprehensive knowledge starting from the basics to advanced concepts of a compliance management system. Delegates will learn how to implement compliance audits, compliance risk assessment, operational planning, and control, etc. Our expert and highly skilled trainer will conduct this training and has years of experience in teaching this course.
Apart from these, delegates will learn the following essential concepts, such as:
- Compliance Management System (CMS)
- Create an effective compliance programme
- Compliance auditor
- Reporting compliance audits
- Compliance monitoring
After attending this ISO 37301 Compliance Management Systems training course, delegates will be able to perform compliance management system audits by using investigation processes. They will also be able to gather and evaluate evidence in conducting compliance audits.
- Delegate pack consisting of course notes and exercises
- Manual
- Experienced Instructor
ISO 20000 Lead Auditor Exam
In order to complete this ISO 20000 Lead Auditor training course, delegates must pass the associated examination. The exam will take place at the end of the final day of the course, when all content has been covered. The exam is:
- Multiple choice questions
- Duration of 40 minutes
- 50% pass mark
- Closed book