Introduction:

This program is designed to prepare participants for the certification exam only.

ISO 9001 and ISO 37301 are globally recognized standards for quality management systems and compliance management systems, respectively. Becoming a Lead Auditor for these standards is a pivotal step in ensuring organizations meet international requirements and improve their operational effectiveness. This training program is designed to provide participants with an in-depth understanding of auditing principles, methodologies, and best practices. It also equips them with the skills to conduct audits effectively, ensuring adherence to ISO 9001 and ISO 37301 standards while preparing participants for certification as a Lead Auditor.

Program Objectives:

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

Identify the requirements of ISO 9001 and ISO 37301 standards.
Master the principles and techniques of conducting management system audits.
Analyze organizational compliance with quality and compliance standards.
Evaluate the effectiveness of management systems against ISO requirements.
Prepare for the PECB Lead Auditor certification exam.

Targeted Audience:

Quality management professionals.
Compliance officers and managers.
Internal and external auditors.
Risk management professionals.
Professionals pursuing PECB Lead Auditor certification.

Program Outline:

Unit 1:

Introduction to ISO 9001 and ISO 37301 Standards:

Overview of ISO 9001: Quality Management Systems.
Overview of ISO 37301: Compliance Management Systems.
Benefits of implementing these standards in organizations.
Key principles and clauses of each standard.
Relationship between quality and compliance management.

Unit 2:

Auditing Principles and Practices:

Fundamental principles of auditing.
Types of audits: internal, external, and third-party audits.
The role and responsibilities of Lead Auditors.
Importance of independence and objectivity in auditing.
Overview of audit stages and processes.

Unit 3:

Audit Planning and Preparation:

How to develop an audit plan and scope.
Identifying key processes, risks, and stakeholders.
Document review and checklist preparation.
Scheduling and resource allocation for audits.

Unit 4:

Audit Techniques and Tools:

Techniques for conducting effective interviews.
Observing processes and gathering objective evidence.
Sampling methods and their application method in audits.
Tools for recording and analyzing audit findings.
Best methods for maintaining audit records.

Unit 5:

Conducting the Audit:

Steps for conducting opening and closing meetings.
Reviewing and verifying documentation and records.
Evaluating the effectiveness of management systems.
How to communicate findings during the audit process.
Managing challenges and conflicts during audits.

Unit 6:

Identifying Nonconformities and Reporting:

Types of nonconformities and their significance.
Techniques for identifying root causes.
Documenting findings in audit reports.
Developing recommendations for corrective actions.

Unit 7:

Follow-Up and Continuous Improvement:

Importance of follow-up audits.
Monitoring the implementation of corrective actions.
Supporting organizations in achieving continuous improvement.
Reviewing changes in management systems over time.
Closing the audit cycle effectively.

Unit 8:

Integrating Audits for Multiple Standards:

Benefits of integrated audits for ISO 9001 and ISO 37301.
Aligning audit objectives and methodologies for both standards.
Identifying overlapping requirements between standards.
Streamlining processes for greater audit efficiency.
Addressing specific challenges in integrated auditing.

Unit 9:

Advanced Auditing Skills:

Risk-based auditing and how it is applied.
Techniques for auditing leadership and commitment.
Tools for evaluating organizational culture and compliance maturity.
Importance of leveraging data analytics in audit decision-making.
Communicating audit findings with clarity and impact.

Unit 10:

PECB Lead Auditor Exam Preparation:

Understanding the structure and requirements of the PECB exam.
Reviewing key concepts and clauses from ISO 9001 and ISO 37301.
Sample exam questions and their potential answers.
Resources and materials for further study.

Note: This program is designed to prepare participants for the certification exam only.

PECB ISO 9001 and ISO 37301 Lead Auditor

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Person Responsible for Training and Development