Course information

ISO 37301 Compliance Management Systems Lead Auditor Training​ Course Outline

Module 1: Introduction to ISO 37301

  • Scope
  • Normative References
  • Terms and Definitions

Module 2: Introduction 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

Module 16: Improvement

  • Continual Improvement
  • Nonconformity and Corrective Action
  • Monitoring Techniques

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

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Who should attend this ISO 37301 Compliance Management Systems Lead Auditor Training Course?

This ISO 37301 Compliance Management Systems Lead Auditor Training Course equips attendees with the knowledge and skills needed to audit compliance management systems effectively. Here are roles or individuals who might find attending an ISO 37301 Compliance Management Systems Lead Auditor Training Course beneficial:

  • Compliance Officers and Managers
  • Internal Auditors
  • External Auditors and Consultants
  • Regulatory Affairs Professionals
  • Risk Management Professionals
  • Quality Assurance and Quality Management Professionals
  • Operational Managers
  • Legal and Compliance Professionals

Prerequisites of this ISO 37301 Compliance Management Systems Lead Auditor Training Course

There are no formal prerequisites for attending this ISO 37301 Compliance Management Systems Lead Auditor Training Course.

ISO 37301 Compliance Management Systems Lead Auditor Training Course Overview

ISO 37301 focuses on Compliance Management Systems (CMS), ensuring organisations adhere to legal and ethical standards and fostering integrity and trust. It's relevant in today's business landscape, emphasising the need for robust systems to mitigate compliance risks, promote ethical practices, and maintain organisational credibility.

Proficiency in ISO 37301 is vital for Compliance Officers, Auditors, and Risk Management Professionals. Mastery of this standard enables them to evaluate, implement, and manage compliance systems effectively. It equips professionals to ensure adherence to regulations, mitigate risks, and foster a culture of ethical conduct within organisations.

This 5-day Training Course delves into ISO 37301's principles, covering compliance frameworks, risk assessment, and auditing techniques. Delegates will gain insights into assessing compliance effectiveness, conducting audits, and improving CMS performance, enhancing their ability to lead compliance initiatives within their organisations.

Course Objectives:

  • To understand the requirements and principles of ISO 37301 for Compliance Management Systems
  • To evaluate and implement effective compliance frameworks within organisations
  • To conduct compliance audits and assess CMS performance
  • To mitigate compliance risks and ensure adherence to legal and ethical standards
  • To improve organisational integrity and trust through ethical practices
  • To enhance skills in leading compliance initiatives and fostering a culture of compliance

Delegates completing this ISO Certification Course will possess comprehensive expertise in ISO 37301, enabling them to effectively evaluate, implement, and manage Compliance Management Systems within their organisations. They'll have the skills to conduct thorough compliance audits and mitigate risks.

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What’s included in this ISO 37301 Compliance Management Systems Lead Auditor Training Course?

  • ISO 37301 Compliance Management Systems Lead Auditor Examination
  • World-Class Training Sessions from Experienced Instructors
  • ISO 37301 Compliance Management Systems Lead Auditor Training Certificate
  • Digital Delegate Pack

ISO 37301 Compliance Management Systems Lead Auditor Exam Information

To achieve the ISO 37301 Compliance Management Systems Lead Auditor Training, candidates will need to sit for an examination. The exam format is as follows: 

  • Question Type: Multiple Choice 
  • Total Questions: 30 
  • Total Marks: 30 Marks 
  • Pass Mark: 50%, or 15/30 Marks 
  • Duration: 40 Minutes

Why choose us

Our Milton Keynes venue

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Milton Keynes is a large town located in Buckinghamshire, England. It is in the centre of the Borough of Milton Keynes and is located about 45 miles (72 km) north-west of London. Milton Keynes currently has an estimated population of over 200,000 residents inhabiting the city; it increased from 53,000 in 1961. Schools in Milton Keynes follow the British educational Tripartite System which is divided into three levels: Primary School, Secondary Schools and Higher Education. The education in Milton Keynes is compulsory for children up until they are 16 years old. The city offers over 80 state schools which are Comprehensive School including Stantonbury Campus and Denbigh School, as well as Grammar Schools. The city also includes Private Schools, Webber Independent School, which is a mixes school for children from the ages of 3 to 18 years old, and the Milton Keynes Preparatory School which is also a mixed schools forma age 2 ½ years old to 11 years old. Milton Keynes also offers Special Schools and Alternative Schools for children living in the city including The Redway School and White Spire School. There are four independent Primary and Preparatory Schools including: Broughton Manor Preparatory School, Walton Pre Preparatory School, Milton Keynes Preparatory School, and the Grove School.

Popular searched areas in and around Milton Keynes include:-

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Milton Keynes is home to The Open University's (OU) headquarters which is situated in the Walton Hall district. It is a public university and was established in 1969 and has nearly 170,000 students; with 156,000 undertaking their undergraduate degrees and 11,000 doing their postgraduates. The Open University has study off-campuses based all over the UK and all over the world. There are many notable current and former academics including astronomer Jocelyn Bell Burnell, editor of Red Pepper magazine Hilary Wainwright, discourse analyst, social psychologist Margaret Wetherell, and space scientist John Zarnecki. Open University's (OU) also has over two million alumni that attended the university. Milton Keynes is notable for its world-famous architect Sir Norman Foster in designing the city as well as the Foster's Beanhill housing scheme.

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T: 01344203999

Ways to take this course

Experience live, interactive learning from home with The Knowledge Academy's Online Instructor-led ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Milton Keynes. Engage directly with expert instructors, mirroring the classroom schedule for a comprehensive learning journey. Enjoy the convenience of virtual learning without compromising on the quality of interaction.

Unlock your potential with The Knowledge Academy's ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Milton Keynes, accessible anytime, anywhere on any device. Enjoy 90 days of online course access, extendable upon request, and benefit from the support of our expert trainers. Elevate your skills at your own pace with our Online Self-paced sessions.

Experience the most sought-after learning style with The Knowledge Academy's ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Milton Keynes. Available in 490+ locations across 190+ countries, our hand-picked Classroom venues offer an invaluable human touch. Immerse yourself in a comprehensive, interactive experience with our expert-led ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Milton Keynes sessions.

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ISO 37301 Compliance Management Systems Lead Auditor Training | ISO Training in Milton Keynes FAQs

Please arrive at the venue at 8:45am.
There are no formal prerequisites in this ISO 37301 Lead Auditor training course.
This training course is suitable for anyone who wants to gain in-depth knowledge of ISO 37301 Lead Auditor successfully.
We are able to provide support via phone & email prior to attending, during and after the course.
Delegate pack consisting of course notes and exercises, Manual, Experienced Instructor, and Refreshments
Once your booking has been placed and confirmed, you will receive an email which contains your course location, course overview, pre-course reading material (if required), course agenda and payment receipts
The training fees for ISO 37301 Compliance Management Systems Lead Auditor Training certification in Milton Keynes starts from £2495
The Knowledge Academy is the Leading global training provider for ISO 37301 Compliance Management Systems Lead Auditor Training.
Please see our ISO Certification courses available in Milton Keynes
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Resources are included for a comprehensive learning experience.

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"Really good course and well organised. Trainer was great with a sense of humour - his experience allowed a free flowing course, structured to help you gain as much information & relevant experience whilst helping prepare you for the exam"

Joshua Davies, Thames Water

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