Risk and Compliance

Training & Certification

TRAINING DAYS: 5

(4 days of training + 1 day exam)

CPD CERTIFICATION

31 Credits

EXAM DURATION

3 Hours

EXAM RETAKE POSSIBLE?

Yes. Free one more exam in 12 months

WHAT IS INCLUDED?

Training, PECB exam and certification

Why Should You Attend?

The PECB Certified 37301 Lead Auditor training course enables you to develop the necessary competence to perform compliance management system (CMS) audits by applying widely recognized audit principles, procedures, and techniques.

Many organizations seek competent auditors to determine whether their policies, procedures, and controls adhere to ISO 37301 requirements. This training course aims to help you complete these tasks successfully and intends to reflect the importance of effective CMS audits. In addition, this training course aims to strengthen your knowledge and skills to plan and carry out CMS audits based on the guidelines for auditing management systems provided in ISO 19011 and the certification process described in ISO/IEC 17021-1. 

This training course can potentially qualify you to conduct audits on behalf of conformity assessment bodies.

The exercises, quizzes, and case studies provided in this training course are designed to help you practice the most important aspects of a CMS audit: ISO 37301 requirements, auditing principles, tools and techniques used to obtain evidence, leading a team of auditors, conducting interviews with auditee, reviewing documented information, drafting nonconformity reports, and preparing the final audit report.

After successfully completing the training course, you can sit for the exam which is designed to measure your knowledge and skills regarding CMS audits. If you successfully pass the exam, you can apply for the “PECB Certified ISO 37301 Lead Auditor” credential. An internationally recognized “PECB ISO 37301 Lead Auditor” certificate validates your professional capabilities and demonstrates that you have the knowledge and skills to audit a CMS based on ISO 37301.


Who Should Attend?

  • Auditors seeking to perform and lead CMS audits
  • Managers or consultants seeking to master the CMS audit process
  • Individuals responsible for maintaining conformity to ISO 37301 requirements in an organization
  • Technical experts seeking to prepare for a CMS audit
  • Expert advisors and compliance officers

Learning objectives

This training course will enable you to:

  • Understand the main concepts of a compliance management system (CMS) and its processes based on ISO 37301
  • Acknowledge the relationship between ISO 37301 and other standards and regulatory frameworks
  • Understand the auditor’s role in planning, leading, and following up on a CMS audit in accordance with ISO 19011
  • Interpret the requirements of ISO 37301 in the context of a CMS audit
  • Plan an audit, lead a team of auditors, draft nonconformity reports, and follow up on an audit
  • Act with due professional care during an audit
Linqs ISO 37301 CMS Lead Auditor Training Brochure

Download ISO 37301 Lead Auditor Training Brochure


Linqs ISO 37301 CMS Lead Implementer Training Brochure

Download ISO 37301 Lead Implementer Training Brochure


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Educational approach

  • Theories, approaches, and best practices used in ISO management system audits
  • Lecture sessions illustrated with examples based on case studies that were inspired by real events
  • Practical exercises based on a case study which includes role-playing and discussions
  • Interaction between participants by means of questions and suggestions
  • Quizzes with stand-alone questions and scenario-based questions, tailored to prepare the participants for the certification exam

Prerequisites

A fundamental understanding of ISO 37301 requirements (or ISO 19600 guidelines) for a CMS and a comprehensive knowledge of audit principles.

Course Agenda

Day 1: Introduction to the compliance management system (CMS) and ISO 37301

Day 2: Audit principles and the preparation for and initiation of an audit

Day 3: On-site audit activities

Day 4: Closing of the audit

Day 5: Certification exam


Examination

The “PECB Certified ISO 37301 Lead Auditor” exam fully meets the requirements of the PECB Examination and Certification Program (ECP). It covers the following competency domains:

Domain 1: Fundamental concepts and principles of a compliance management system 

Domain 2: Compliance management system requirements

Domain 3: Fundamental audit concepts and principles

Domain 4: Preparing an ISO 37301 audit

Domain 5: Conducting an ISO 37301 audit 

Domain 6: Closing an ISO 37301 audit

Domain 7: Managing an ISO 37301 audit program


General Information

1. Certification fees are included in the exam price.

2. Participants will be provided with the training course material containing over 450 pages of explanatory information, examples, best practices, exercises, and quizzes. 

3. An attestation of course completion worth 31 CPD (Continuing Professional Development) credits will be issued to the participants who have attended the training course.

4. In case candidates fail the exam, they can retake it within 12 months following the initial attempt for free.


Certification

After successfully completing the exam, you can apply for one of the credentials shown on the table below. You will receive a certificate once you comply with all the requirements related to the selected credential.

The requirements for PECB ISO 37301 Auditor certifications are as shown in the table below:

Linqs PECB ISO 37301 LA Certificate Picture

To be considered valid, the audit activities should follow best audit practices and include the following:

1. Planning an audit

2. Managing an audit program

3. Drafting audit reports

4. Drafting nonconformity reports

5. Drafting audit work documents

6. Reviewing documented information

7. Conducting on-site audit

8. Following up on nonconformities

9. Leading an audit team

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