Internal Auditor ISO 37301- CMS

About ISO 37301:

The ISO 37301 Compliance Management System Auditor course aims to prepare participants to understand the system’s standards and implement internal audit processes that support the continuous improvement and performance of the organization’s compliance system in accordance with this standard. The course includes the following topics:

1. Understanding the Standard Requirements:

This section aims to provide a comprehensive understanding of the standards to be audited:

• Basic concepts and principles of a Compliance Management System (CMS).
• Definition of the scope and importance of the standard in the context of a compliance management system.
• Detailed explanation of the requirements of the standard (e.g., context, leadership, planning, support, operation, performance evaluation, and improvement).
• The relationship between ISO 37301 and other management systems (e.g., ISO 9001 and ISO 19600).
• Key concepts: compliance, risk, governance, corporate ethics, and organizational culture.
• The difference between legal, regulatory, and internal compliance.
• Identifying risks, opportunities, and actions to address them.
• Process control, preparation, and response to emergencies.

2. Implementing a Compliance Management System

• Identifying internal and external issues, legal, and regulatory obligations.
• The role of senior management and the compliance function in establishing a culture of compliance and integrity.
• Assessing non-compliance risks and setting compliance objectives and programs.
• Resources, competency, awareness, communication, and documented information management.
• Operational control, operational controls, and whistleblowing and investigation mechanisms.
• Monitoring, measuring, and evaluating the performance of the compliance system, internal audit, and management review.
• Non-conformities, corrective actions, and continuous improvement.

3. Audit Principles and Guidelines

This section focuses on the methodological foundations of the audit process:

• Audit principles according to the International Standard (19011) Guidelines for Auditing Management Systems.
• The role and responsibilities of the internal auditor according to the standard.
• The competencies and personal characteristics required for the auditor.
• Auditing the security management system
• Security review requirements
• Assessing and analyzing threats and risks and selecting audit processes.

4. Auditor Competency and Requirements:

• Qualities of a Compliance Auditor.
• Ethical Behavior During an Audit.
• Managing Opening and Closing Meetings.
• Dealing with Difficult Cases During an Audit.

5. Case Studies and Practical Exercises:

• Analyzing Real Scenarios.
• Simulating Audits.
• Discussing Potential Nonconformities.

6. Preparing for the Final Exam

• Comprehensive Review of the Material.
• Sample Questions.
• Exam Passing Strategies.