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CMS ISO 37301 Lead Auditor



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

The Compliance Management System (CMS) ISO 37301 Lead Auditor training program eserves as a cornerstone for individuals seeking to lead effective compliance audits and drive organizational excellence in regulatory adherence. It empowers them to enhance compliance practices and uphold ethical standards within their organizations.

Program Objectives:

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

  • Conduct thorough audits of Compliance Management Systems (CMS) based on ISO 37301 standards.

  • Assess the effectiveness of compliance processes and controls within organizations.

  • Provide actionable recommendations for improving compliance practices and mitigating risks.

  • Communicate audit findings clearly and effectively to stakeholders.

  • Prepare for ISO 37301 certification exam.

Targeted Audience:

  • Compliance professionals seeking to deepen their understanding of compliance management systems and ISO standards.

  • Auditors and consultants aiming to specialize in ISO 37301 compliance audits and certification processes.

  • Managers and executives responsible for implementing and overseeing compliance programs within organizations.

  • Individuals interested in enhancing their knowledge of compliance management and governance frameworks for career advancement.

  • Professionals involved in risk management and corporate governance interested in aligning their practices with international standards.

Program Outline:

Unit 1:

Introduction to Compliance Management System (CMS) and ISO 37301:

  • Understanding the significance of compliance management in organizational governance.

  • Overview of the ISO 37301 standard and its role in establishing an effective CMS.

  • Exploring the principles and requirements outlined in ISO 37301.

  • Identifying key stakeholders and their roles in compliance management.

  • Discussing the benefits of achieving ISO 37301 certification for organizations.

Unit 2:

Roles and Responsibilities of an ISO 37301 Lead Auditor:

  • Defining the role and responsibilities of an ISO 37301 Lead Auditor.

  • Understanding the competencies and skills required to conduct effective compliance audits.

  • Communication and collaboration with stakeholders throughout the auditing process.

  • Ensuring compliance with auditing standards, procedures, and ethical guidelines.

  • Case studies and role-playing exercises to simulate real-world auditing scenarios.

Unit 3:

Planning and Initiating an ISO 37301 Audit:

  • Steps involved in planning and preparing for an ISO 37301 audit.

  • Identifying audit objectives, scope, and criteria.

  • Developing audit plans and checklists tailored to the organization's CMS.

  • Conducting risk assessments to prioritize audit focus areas.

  • Establishing communication channels with auditees and obtaining necessary documentation.

Unit 4:

Conducting ISO 37301 Audits:

  • Techniques for conducting on-site and remote audits effectively.

  • Interviewing techniques to gather information and evidence.

  • Documenting audit findings and observations accurately.

  • Assessing compliance with ISO 37301 requirements and applicable regulations.

  • Addressing non-conformities and providing recommendations for improvement.

Unit 5:

Reporting, Follow-Up, and Certification:

  • Preparation of audit reports summarizing findings, conclusions, and recommendations.

  • Communicating audit results to relevant stakeholders, including management and certification bodies.

  • Establishing corrective action plans to address identified non-conformities.

  • Conducting follow-up activities to verify the effectiveness of corrective actions.

  • Preparation for achieving ISO 37301 certification exam.

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

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