ISO 37301 Lead Implementer

The benefits of implementing a compliance management system (CMS) based on ISO 37301 are manifold: helping the organization avoid or mitigate the costs, risks, and damage of noncompliance, ensuring the long-term sustainability of the organization, promoting trust and confidence, encouraging good governance practices, due diligence, and ethically sound business dealings, etc.

Course description:

The PECB ISO 37301 Lead Implementer training course provides the knowledge needed to establish, implement, manage, maintain, and continually improve a CMS. It aims to provide an in-depth understanding of ISO 37301 requirements, as well as the best practices and approaches used for the implementation and subsequent maintenance of the compliance management system.

Learning objectives:

This training course will help you:

  • Gain a comprehensive understanding of the concepts, approaches, methods, and techniques used for the implementation and effective management of a CMS
  • Acknowledge the correlation between ISO 37301 and other standards and regulatory frameworks
  • Gain the ability to interpret the requirements of ISO 37301 in the specific context of an organization
  • Develop the necessary knowledge and expertise to support an organization in effectively planning, implementing, managing, monitoring, and maintaining a CMS
  • Acquire the expertise to advise an organization in implementing CMS best practices

Audience:

The ISO 37301 Lead Implementer training course is intended for:

  • Managers, consultants, and compliance officers wishing to develop a thorough understanding of ISO 37301 requirements for a compliance management system
  • Managers and consultants seeking a comprehensive CMS implementation framework
  • Compliance officers responsible for practicing due diligence with regard to compliance risks
  • Individuals wishing to contribute in maintaining organizational integrity by supporting ethical behavior
  • Managers and members of governance, risk management, and compliance teams
  • Individuals aspiring to become compliance officers or compliance management consultants

Certification

Upon the successful completion of the exam, you can apply for one of the credentials shown in the table below. You will receive a certificate once you fulfill all the requirements related to the selected credential. For more information about ISO 37301 certifications and the PECB certification process, please refer to the Certification Rules and Policies.

Certification 9001LI.png

Prerequisites:

The main requirements for participating in this training course are a basic knowledge of ISO management system standards, as well as a general understanding of ISO 37301 (or ISO 19600 guidelines) and the MS implementation principles.

Agenda:

  • Introduction to ISO 37301 and the initiation of a CMS implementation

    1. Training course objectives and structure
    2. Standards and regulatory frameworks
    3. Fundamental concepts and principles of compliance management
    4. Initiation of the CMS implementation
    5. Leadership and commitment
    6. Compliance policy
    7. Roles, responsibilities, and authorities
  • Implementation plan of a CMS

    1. The organization and its context
    2. CMS scope
    3. Compliance obligations
    4. Risks, opportunities, and compliance objectives
  • Implementation of a CMS

    1. Resources and competence
    2. Awareness and communication
    3. Management of documented information
    4. Controls and procedures
    5. Monitoring, measurement, analysis, and evaluation
  • CMS monitoring, continual improvement, and preparation for the certification audit

    1. Internal audit
    2. Management review
    3. Treatment of nonconformities and noncompliance
    4. Continual improvement
    5. Preparation for the certification audit
    6. Closing of the training course
  • Certification Exam

    1. Preparation for exam
    2. Exam
  • The exam is will take place at the end of the course on onsite classroom courses

    For Virtual courses we will send out a voucher that gives you access to an online exam. This can be booked and taken home monitored by a proctor via camera. More information about the exam rules will be send from PECB.

    Test details:

    • The exam duration is three (3) hours. Non-native speakers receive an additional half an hour.
    • The exam contains essay type questions. 

    As the exam is an Multiple Choice, candidates are authorized to use:

    • A copy of the ISO 37301 Standard
    • Course notes from the Participant Handout;
    • Any personal notes made by the student during the course; and
    • A hard copy dictionary

    Exam-preparation-guides

    Examination rules and policies

    RECEIVE YOUR EXAM RESULTS

    Results will be communicated by email in a period of 6 to 8 weeks, after taking the exam. The results will not include the exact grade of the candidate, only a mention of pass or fail.

    Candidates who successfully complete the examination will be able to apply for a certified scheme which is explained in the course description.

    In the case of a failure, the results will be accompanied with the list of domains in which the candidate had failed to provide guidance for exams’ retake preparation.

    Candidates, who disagree with the exam results, may file a complaint by writing to  or through PECB ticketing system.

    EXAM RETAKE POLICY

    There is no limit on the number of times a candidate may retake an exam. However, there are some limitations in terms of allowed time-frame in between exam retakes, such as:

    • Students, who have completed the full training but failed the written exam, are eligible to retake the exam once for free within a 12 month period from the initial date of the exam.
    • If a candidate does not pass the exam on the second attempt, he/she must wait 3 months (from the initial date of the exam) for the next attempt (2nd retake). Retake fee applies.
    • If a candidate does not pass the exam on the third attempt, he/she must wait 6 months (from the initial date of the exam) for the next attempt (3rd retake). Retake fee applies.

    After the fourth attempt, a waiting period of 12 months from the last session date is required, in order for candidate to sit again for the same exam. Regular fee applies.

    For the candidates that fail the exam in the 2nd retake, PECB recommends to attend an official training in order to be better prepared for the exam.

    To arrange exam retakes (date, time, place, costs), the candidate needs to contact Glasspaper.

     

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