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

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Sacramento is situated near central valley at the joining of the Sacramento River and the American River, as well as it being the capital city of California it is also the sixth largest city within California and is home to around 485,199 people within 2014. Sacramento also has a metropolitan population of an estimated 2,414, 783 in 2010 therefore ranking it in third place as the largest metropolitan population within California. Sacramento is also the seat to the government of Sacramento County, and America’s most diverse city as of Harvard University civil rights project in 2002. There are a number of different types of schools, which are public, private or independent, the independent schools within Sacramento include the Waldorf School and the Sacramento Country Day School which was run by the California Association of Independent Schools as opposed to being one of the Roman Catholic Independent schools. The Public schools include Natomas Unified School District, Twin Rivers Unified School District, Sacramento City Unified School District and Elk Grove Unified School District. Some of the Universities within the city include Sacramento State (California State University, Sacramento) and University of California. Sacramento State University plays a big part in the education of students, as of 2004 they enrolled roughly 22,555 undergraduates within the eight colleges it operates. There is also a few universities with campuses in Sacramento which include the McGeroge School of law – University of Pacific, National University, Western Seminary and the University of San Francisco. All of the Universities offer students different types of courses and degrees some of which include graduate, undergraduate, bachelors, masters and doctoral degrees. Subjects can also differ depending on the institution with regards to public health sciences, administration, project management, business, sciences, law, counselling, education, mathematics, engineering, arts, sports and many more. Sacramento also consists of different schools which practise religion, these being an Islamic school the Masjid Annur, Christian schools such as the Sacramento Adventist Academy and the Capital Christian School as well as a Jewish school which is the Shalom School.

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Sacremento, California

T: +1 7204454674

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 Sacramento. 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 Sacramento, 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.

Streamline large-scale training requirements with The Knowledge Academy's In-house/Onsite at your business premises. Experience expert-led classroom learning from the comfort of your workplace and engage professional development.

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