Exam Details
The ISO 37301 Lead Auditor Certification Exam is a comprehensive assessment that validates a professional’s ability to plan, conduct, report, and follow up on audits of a Compliance Management System (CMS) based on ISO 37301:2021. It tests knowledge of auditing techniques, standard requirements, and practical implementation aligned with ISO 19011 guidelines. Successful candidates are certified to lead internal or external audits, helping organizations demonstrate regulatory compliance and ethical governance.
Module-wise Syllabus for ISO 37301 Lead Auditor Certification Exam
Module 1: Introduction to ISO 37301 and Compliance Management
- Overview of ISO 37301:2021
- Compliance principles and benefits
- Relationship with ISO standards (e.g., ISO 37001, ISO 31000)
Module 2: ISO 37301 Standard Requirements (Clauses 4–10)
- Context of the organization
- Leadership and commitment
- Planning for the CMS
- Support and operational control
- Performance evaluation and improvement
Module 3: Audit Fundamentals and Principles
- Definition, types, and objectives of audits
- ISO 19011 audit guidelines
- Risk-based auditing approach
- Auditor responsibilities and code of conduct
Module 4: Audit Planning and Preparation
- Developing audit programs
- Understanding audit scope and criteria
- Preparing checklists and audit plans
- Roles and responsibilities of audit team
Module 5: Conducting On-site and Remote Audits
- Opening meetings
- Interview techniques and evidence collection
- Audit sampling and documentation
- Observations and nonconformity reporting
Module 6: Audit Reporting and Follow-up
- Drafting and finalizing audit reports
- Communicating findings
- Corrective action verification
- Audit closure and continuous improvement
Module 7: Certification Process and Competence
- Auditor competence and evaluation
- Certification audit process
- Surveillance and recertification
- Role of accreditation and certification bodies
Exam Benefits
• Gain expertise in ISO 37301 audit principles, • Lead compliance management system audits, • Improve organizational compliance and governance, • Align audits with international standards, • Enhance professional credibility and recognition, • Learn risk-based audit planning and execution, • Open global career opportunities, • Contribute to ethical and responsible business conduct, • Ensure readiness for regulatory inspections, • Prepare for third-party certification audits
Who Should Attend
• Compliance Auditors, • Risk and Governance Professionals, • Internal and External Auditors, • Legal and Regulatory Experts, • Ethics and Compliance Officers, • Management System Consultants, • Corporate Governance Professionals, • Audit Managers and Team Leaders, • Quality and Risk Managers, • Individuals seeking auditing careers in compliance
Exam Syllabus
Module 1: Introduction to ISO 37301 and Compliance Management, Module 2: ISO 37301 Standard Requirements (Clauses 4–10), Module 3: Audit Fundamentals and Principles, Module 4: Audit Planning and Preparation, Module 5: Conducting On-site and Remote Audits, Module 6: Audit Reporting and Follow-up, Module 7: Certification Process and Competence
Exam Details
Exam Duration - 120 Min, Exam Pattern – MCQs, Number of Questions: 50, Passing Marks: 35, Exam Method – Online Open Book: No, Exam Pass Mark - 70% (35 out of 50) Exam Result - Immediate
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