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Professional Evaluation and Certification Board

delivering certification training programs across a range of ISO standards and regulatory frameworks

ISO 37301 Compliance Management - Lead Auditor

Course Code

ISO 37301-LA

Course Category

ISO Standards

Learning Mode

Self Study


Yes (Optional)

Course Material

Downloadable Manual

PECB Certified - ISO 37301 Compliance Management System - Lead Auditor

Acquire the skills and knowledge necessary to conduct audits of compliance management systems based on ISO 37301 and the guidelines for auditing management systems provided in ISO 19011 and the certification process presented in ISO/IEC 17021-1

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. The “PECB ISO 37301 Lead Auditor” certification validates your professional capabilities and demonstrates that you have the knowledge and skills to audit a CMS based on ISO 37301.

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Learning Objectives & Outline

ISO 37301 Compliance Management - Lead Auditor

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


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

  • Training course objectives and structure

  • Standards and regulatory frameworks

  • Certification process

  • Introduction to compliance and CMS based on ISO 37301

  • An overview of ISO 37301 requirements — Clauses 4 to 10

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

  • Fundamental audit concepts and principles

  • The impact of trends and technology in auditing

  • Evidence-based auditing

  • Risk-based auditing

  • Initiation of the audit process

  • Stage 1 audit

Module 3 - On-site audit activities

  • Preparing for stage 2 audit

  • Stage 2 audit

  • Communication during the audit

  • Audit procedures

  • Creating audit test plans

Module 4 - Closing of the audit

  • Drafting audit findings and nonconformity reports

  • Audit documentation and quality review

  • Closing of the audit

  • Evaluation of action plans by the auditor

  • Beyond the initial audit

  • Managing an internal audit program

  • Closing of the training course


ISO 37301 Compliance Management - Lead Auditor

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

Upon the successful completion of the exam, you can apply for one of several ISO 37301 credentials (see attached course brocheur)

  • Certification and examination fees are included in the price of the training course.

  • In case of exam failure, the candidate can retake the exam once for free within 12 months following the initial exam date.

Who Should Take this Course

PECB Certified - ISO 37301 Compliance Management System - Lead Auditor

The ISO 37301 Lead Auditor training course is intended 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 organization

  • Technical experts seeking to prepare for a CMS audit

  • Expert advisors and compliance officers

General Informatio

  • PECB will provide training material of over 450 pages of information and practical examples.

  • An attendance record worth 31 CPD (Continuing Professional Development) credits will be issued to participants who have attended the training course.

Enrollment & Payment


  • Registration and payment for this training course is a prerequisite to participation.

  • Upon payment, you will receive an "Invitation to create a PECB account" from PECB (Professional Evaluation and Certification Board), the global accreditation body for this course of study. This will allow you to set up your account with the requisite pass codes for access to the learning portal.  

  • Once completed your application will be processed within a maximum of two working days, after which you will receive notification by email with confirmation of finalization of registration to access the portal and commence this course of study. 

  • In accordance with exchange requirements, billings are done in Barbados dollars which exchange at a rate of Barbados $2 to every US$1.

Corporate Training

To book this course for corporate training, click here

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