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Lead Auditor ISO 37301 Compliance Management Systems SC-37301LA

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Lead Auditor ISO 37301 Compliance Management Systems SC-37301LA

Objective of the Audit: The audit of the ISO 37301 standard aims to evaluate the effectiveness of an organization's compliance management system, ensuring that it meets the requirements of the standard and that the organization is adequately managing its compliance obligations.

Aspects Audited: During an audit in accordance with ISO 37301, various aspects of the compliance management system are reviewed, such as:

  1. Compliance Policy:
    • Review of the compliance policy and its alignment with the organization’s strategic objectives.
    • Evaluation of the communication and understanding of the compliance policy at all levels of the organization.
  2. Compliance Risk Assessment:
    • Identification and evaluation of compliance risks relevant to the organization.
    • Implementation of controls and measures to mitigate these risks.
  3. Documentation and Procedures:
    • Review of the compliance management system documentation, including manuals, procedures, records, and policies.
    • Verification that procedures are up-to-date and adequate to ensure compliance.
  4. Responsibility and Authority:
    • Evaluation of the assignment of responsibilities and authority concerning compliance.
    • Review of top management's commitment and their role in the compliance management system.
  5. Training and Awareness:
    • Evaluation of training and awareness programs on compliance.
    • Verification that staff receive necessary training to understand and fulfill their compliance responsibilities.
  6. Monitoring and Evaluating Compliance:
    • Review of mechanisms for monitoring and evaluating compliance, including internal audits.
    • Evaluation of the effectiveness of the processes for reviewing and tracking compliance incidents.
  7. Managing Compliance Incidents:
    • Evaluation of procedures for identifying, reporting, and managing compliance incidents.
    • Review of corrective and preventive actions implemented to address and prevent future incidents.
  8. Continuous Improvement:
    • Evaluation of the processes for continuous improvement of the compliance management system.
    • Review of internal and external audits and how their results are used to improve the compliance management system.


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