ISO 37301 Compliance Management Systems Lead Auditor Training - United Kingdom

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