ISO 37301 - Lead Auditor (Compliance Management Training) - Self-Paced Learning

Training Partners

Course Type

E-Learning

Cost

USD600

Contact

(+65) 6920 5462

Email

courses@straitsinteractive.com

Ideal For

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 organisation
Technical experts seeking to prepare for a CMS audit
Expert advisors and compliance officers

This course is a Self-Paced Learning Programme with 5 days’ worth of content and is brought to you by Straits Interactive on behalf of PECB.

ISO 37301 is a Type A management system standard which sets out the requirements and provides guidelines for establishing, developing, implementing, evaluating, maintaining, and continually improving a compliance management system (CMS). A CMS provides organizations a structured approach to meet all compliance obligations, i.e., requirements that they mandatorily have to comply with such as laws, regulations, court rulings, permits, licenses, as well as those that they voluntarily choose to comply with such as internal policies and procedures, codes of conduct, standards, and agreements with communities or NGOs.

ISO 37301 can be applied to all organizations, regardless of their size, nature, or complexity of activity. CMS is based upon the principles of integrity, good governance, proportionality, transparency, accountability, and sustainability.

As with the most of management system standards, ISO 37301 also follows the high-level structure (HLS) developed by ISO. The HLS structure defines the common terminology and definitions used, as well as the clause sequence (1 to 10), where the requirements for the CMS are set out in clauses 4 to 10. The HLS enables organizations to integrate various management systems, meaning that organizations can either adopt a CMS as a stand-alone management system or they can integrate it with other existing management systems.

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 programme aims to help you complete these tasks successfully and intends to reflect the importance of effective CMS audits. In addition, this programme 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 programme can potentially qualify you to conduct audits on behalf of conformity assessment bodies.

The exercises, quizzes, and case studies provided in this programme 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.

Upon completion of the programme, participants will take an exam which is designed to measure knowledge and skills regarding CMS audits. After passing, participants 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.

To get a better overview of the ISO certification courses available, you can find our roadmap here.

For more information about the ISO courses, please refer to the Frequently Asked Questions (FAQ) page here.

*PECB is an accredited Personnel Certification Body by The International Accreditation Service (IAS) under ISO/IEC 17024. PECB (legal name “PECB Group Inc.”) is a certification body which provides education¹ and certification under ISO/IEC 17024 for individuals on a wide range of disciplines. Click here for more on PECB.

¹ Education refers to training courses developed by PECB, and offered globally through its network of resellers.

REQUIREMENTS

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

LEARNING OUTCOMES

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

This is a Self-Paced Learning Programme. Here is a guided schedule that you may use as a reference. You will be required to book your online exam. (Email instructions will be provided)

GUIDED SCHEDULE

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

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

Day 3 - On-site audit activities

Day 4 - Closing of the audit

Day 5 - Certification Exam

DELIVERY FORMAT

This is a self-paced learning programme. There are no trainers.

DURATION

Self-Paced

EXAMINATION

The examination duration is 3 hours by *online proctoring. Exam format will be multiple choice questions.

*Online proctoring: candidates are free to select to do it at their convenient location, date, and time using their laptop. Candidates are remotely invigilated by PECB authorized invigilators via webcam.

The “PECB Certified ISO 37301 Lead Auditor” exam fully meets the requirements of the PECB Examination and Certification Programme (ECP). The exam 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

For more information about exam details, please visit the List of PECB Exams and the Examination Rules and Policies.

CERTIFICATION

After successfully passing the exam, you can apply for the "PECB Certified ISO 37301 Lead Auditor" credential.

For more information about the PECB certification process, please refer to the Certification Rules and Policies.

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

Note: PECB certified individuals who possess both the Lead Implementer and Lead Auditor credentials are qualified for the respective PECB Master Credential, given they have taken 4 additional Foundation Exams related to this scheme. For more information about the Foundation Exams and the overall Master Requirements, please go to PECB Master Credentials.

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

Planning an audit
Managing an audit program
Drafting audit reports
Drafting nonconformity reports
Drafting audit work documents
Reviewing documented information
Conducting on-site audit
Following up on nonconformities
Leading an audit team

CERTIFICATION MAINTENANCE POLICY
Overview

PECB certified professionals who follow this policy and successfully comply with its requirements will be able to continually demonstrate competence, broaden knowledge, and consequently renew their certification(s).
The CPD requirements are set and overseen by the PECB Scheme Committee

To know more, please click here.

Exam fee
Certification fees
Training material containing over 450 pages of information and practical examples
In case of exam failure, candidates can retake the exam for a second time at no additional fees within a time frame of 12 months following the initial exam date

COURSE FEE

The course fee is USD$600 (Excludes Goods & Services Tax if applicable).

As the programme is self-paced learning, it is non-refundable.

NOTE: There is no government funding for Singaporeans and Permanent Residents for this course.

Payment can be made by the following means below. Cheque payments will not be accepted.

1. Bank transfer in US dollars. (Details for transfer will be provided in the invoice)

2. Credit card

3. Credit card promotion:

a. Singapore OCBC card holders: 12-month interest-free instalment payment. Instalment payment will be in Singapore dollars based on the prevailing currency exchange rate.

All queries to be directed to courses@straitsinteractive.com.

REGISTRATION

The course fee is USD$600 (Excludes Goods & Services Tax if applicable).

Registration will be confirmed upon receipt of full payment via bank transfer or credit card. Note that course materials will be released electronically by PECB within 5 working days upon receipt of payment.

For more information about the ISO courses, please refer to the Frequently Asked Questions (FAQ) page.

TERMS AND CONDITIONS

As Straits is only a Singapore-based reseller of selected PECB courses, Straits will not be able to offer any learning support in relation to the materials nor address any concerns or issues in relation to the quality of the PECB Self-Paced Learning Programme.
All queries in relation to the PECB Self-Paced Learning Programme are to be channelled to PECB directly at [https://pecb.com/en/contact-us].
The PECB Self-Paced Learning Programme is provided to you "as is" directly from PECB. As such, Straits has no control over the quality or merchantability of its contents, as such we disclaim any liabilities or implied warranties, including any warranty of merchantability over the quality of the PECB Self-Paced Learning Programme/content.
Straits recommends you to complete the PECB Self-Paced Learning Programme and the exam within 12 months from the date of purchase.

Feel free to share with us your good news of passing the exam or if you are interested in furthering your competency by writing in to us at courses@straitsinteractive.com.

CONFIRMATION & RESERVATION

Participants will receive an email acknowledgement for the self-paced learning programme followed by an invoice shortly. Full payment must be made before course material will be released electronically by PECB within 5 working days upon receipt of payment. PECB will send 2 emails containing instructions on how to view the course material and the exam coupon code with instructions on how to schedule the online exam.

CANCELLATION

As this is a self-paced learning programme, there will be no refund for any cancellation or withdrawal.

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