ISO 37301:2021 Compliance Management Systems Third Party Auditor - Lead

Recognition: Diploma in Third Party Auditing

3 Year Professional Development Guarantee: Each ACI Global Course or Program is backed by a "3 Year Professional Leadership Development Guarantee" ensuring the Candidates Professional Leadership Development is maintained relevant to the training provided. This service is included in the Course or Program Price and conditions apply.

Sponsoring Organisation: Certificate of Sustainability and Sustained Success.

 

FULL COURSE DETAILS

ISO Graduate Lead Auditor "Compliance Management Systems" Outcomes

• Issued with a Diploma valid for three years covering ISO 37301:2021, ISO 26000:2010, ISO 31000:2018, ISO 19011:2018 and ISO 17021:2015;
• Issued with a Personal ISO Certification Card for Auditing Quality Management Systems as a Lead Auditor valid for three years;
• Provided a three years Triennial Personal ISO Certification program with ongoing assessment to verify competency (VOC);
• Supported by a three year continuous professional development agreement to support the triennial personal ISO Certification program providing unlimited access to the ACI Global secure e-Campus for all resource and personal development needs.
• The Organisation that the candidate has worked with to demonstrate and have verified through an observational activity that they are competent is issued with a Certificate of Sustainability covering the nominated ISO or Industry Standard/s and Statutory Rules and Regulations.

ISO Graduate Lead Auditor "Compliance Management Systems" Learning Tasks

• Learn how a Compliance Management System in Conformance to ISO 37301:2018 and ISO 31000:2018 will add value to an Organisation
• Understand the meaning of Business Acumen together with Risk Based Thinking and be able to determine the key drivers for Business or Organisational Success.
• Learn the principles and guidelines for auditing management systems to International (ISO) and National Standards for an Organisation.
• Demonstrate the application of "Knowledge, Attitude, Cultural Diversity and Personal Disciplines" necessary to lead an Audit Team in undertaking a Stage 1 and Stage 2 Audit during an "Observational Event" under visual observation (Video).
• Ongoing Assessments to ensure the candidates competencies are maintained in accordance with the candidates 3 year CPD agreement.

ISO Graduate Lead Auditor "Compliance Management Systems" Career Benefits

• ISO Certified Business Professionals receive higher returns for services provided and greater chances of employment and or contracts
• Three Year Continuous Professional Leadership Development Guarantee CPD for the period of ISO Certification (3 yrs).
• Entry into the ACI Global Professionals' Register.
• At the successful completion of the program candidates are able to apply for Registration with Third Party Certification Bodies (CB's). Please note conditions do apply for example industry experience, necessary auditor codes plus auditor experience are all considered essential requirements performing third party audits for further details please refer to your preferred Certification Body for further details.

ISO Graduate Lead Auditor "Compliance Management Systems" Needs Analysis

Overview Curriculum and Learning Outcomes for this course have been developed, implemented and undergo continuous improvement through input from Industry, ISO Technical Committees, independent third party audits and conform to the International ISO 17024 Conformity Assessment Standard - General requirements for bodies operating certification of persons with the following levels of Competency "Competent" (C) or "Not yet Competent" (NYC). If a candidate is assessed as (NYC) they are provided an additional attempt and are able to redo the assessment with additional mentoring and resources provided where necessary. There is no set number of additional attempts provided as this is determined between the candidate and their assigned facilitator.

Commencing the Journey of Accelerating Continuous Improvement (ACI)

Learners are provided a unique and secure access codes to access the ACI Academy to commence their course of learning as outlined below firstly undertaking an in depth "Needs Analysis" of their Personal Learning Needs. The Journey commences in a structured and informative way as listed:

• Introduction
• Getting Started
• Setting up your personal learner center;
• Special needs addressed if applicable;
• Continuous Professional Development Agreement signed;
• Personal and Business Code of Ethics agreed and signed off;

Recognition of Prior Learning - ISO-RPL/RCC

Recognition of Prior Learning, Current Competence and Capability is examined through:

• Industry Experience against required Learning Outcomes examined;
• Prior Learning against required Learning Outcomes examined;
• Current Competence against required Learning Outcomes examined;

Graduate Management Admission Test (GMAT) undertaken to determine competence against the following "STEM" subjects and English Proficiency:

• Science;
• Technology;
• Engineering;
• Mathematics, and;
• English Proficiency.

Hogan Personal Disciplines assessment undertaken to determine Seven Key Leadership skills:

• Adjustment: The degree to which a person is calm and even tempered or conversely, moody and volatile;
• Ambition: The degree to which a person seems leader like, seeks status and values achievement;
• Sociability: The degree to which a person appears talkative and socially self confident;
• Sensitivity: Reflects social skill, tact and perceptiveness;
• Prudence: Concerns self control and conscientiousness;
• Inquisitive: The degree to which a person seems curious, adventurous and imaginative;
• Learning Approach: The degree to which a person enjoys academic activities and enjoys education as an end in itself.

Personal Strengths, Weaknesses, Opportunities and Threats (SWOT) undertaken

The results of the Hogan Assessment will enable a detailed Personal SWOT to be undertaken to:

• identify general career-related strengths and development needs and;
• highlight the most effective techniques for individuals and help facilitators to enable individuals reach their career goals.

Cultural Awareness

Whilst technology makes it possible to collaborate with colleagues around the world, intercultural challenges present unanticipated obstacles. Facilitators and their audience "learners" need to trust and understand each other, and as part of this training program and its associated Continuous Professional Leadership Development (Post Graduate) Program will assist in this.

Cultural Awareness is the foundation of communication and it involves the ability of standing back from ourselves and becoming aware of our cultural values, beliefs and perceptions.

Prior to the commencement of any course the Facilitator and Learner both undertake an "Open Session" of getting to understand each other with this final segment of the ISO Learners Needs Analysis discussing prior learning, industry experience, the learners "Sponsoring Organisation", the Hogan and GMAT assessments and finally targets and goals for the learner to complete their Learning Program.

The final step of the Learners Needs Analysis is taken with the Facilitator taking the Learner into the Academy Library and showing them the allocated Standards and resource material which will be needed to be referenced and used throughout the learners course.

COURSE OUTLINE

Resource Centre

• Course Library
• Benefits of ISO Standards
• ISO Changes
• Managing change
• Introduction to auditing
• Resource Material

Compliance and Corporate Social Responsibility - ISO-QMS, ISO-CSR and ISO-RM.

• Assessment to determine an understanding of the Principles of a Compliance Culture;
• Assessment to determine an understanding of the Process Approach (PDCA);
• Assessment to determine an understanding of Business Acumen and Business Systems and their Operational Architecture;
• Assessment to determine understanding of the application of Corporate Social Responsibility Principles in the context of an organisation and Local and International guidelines;
• Assessment to recognise Compliance Management, Corporate Social Responsibility and the engagement of Interested Parties and Stakeholders;
• Assessment to determine and understand Compliance Objectives, Integrity, Culture, Conformity, Reputation, Value and Ethics;
• Assessment to determine and understand Compliance Principles, Integrity, Good Governance, Proportionality, Transparency, Accountability and Sustainability;
• Assessment to determine an understand and be able to demonstrate guidance on Corporate Social Responsibility core subjects;
• Assessment to determine an understand and be able to demonstrate guidance on Compliance Management core subjects;
• Assessment to determine Guidance on integrating corporate social responsibility throughout an organisation;
• Assessment to determine Guidance on integrating a compliance culture throughout an organisation;
• Assessment to demonstrate and Relate the Compliance Management System to the Organisations "Context", Legal, Social, Cultural, Digitalization, Finance, Structure, Environment and Interested Parties;
• Assessment to demonstrate an understanding of Risk based thinking as it relates to an organisations enterprise risk management process;
• Assessment to demonstrate an understanding of an Organisation Governance Culture and supporting processes;
• Assessment to demonstrate an understanding of an organisations Planning and Risk Management Processes;
• Assessment to demonstrate an understanding of an organisations Support, Infrastructure (Assets) and Resources Architecture Processes;
• Assessment to demonstrate an understanding of an organisations Operational Processes;
• Assessment to demonstrate an understanding of an organisations Performance Evaluation Processes;
• Assessment to demonstrate an understanding of an organisations Improvement and Innovation Processes; and,
• Interview and possible observations to assess Progress.

ISO Auditor - ISO-AUD.

• Assessment to understand the application of the principles, procedures and techniques of auditing;
• Assessment to demonstrate an understanding of how to conduct of an effective audit in the context of the auditees organisational situation;
• Assessment to demonstrate an understanding of the application of the regulations, and other considerations that are relevant to the audit compliance management system, and the conduct of the audit;
• Assessment to understand and be able to demonstrate through "Observational Means" how the internal audit program addresses both elements of the compliance management system and "Risk to the Organisation; and,
• Interview and possible observation to assess final audit assessment

ISO Lead Auditor - ISO-LA.

• Assessment to understand how teams work;
• Assessment to demonstrate how to set up an audit team;
• Assessment to understand how to improve team efficiency;
• Assessment to demonstrate communication within teams; and,
• Interview and possible observation to assess final audit assessment.

Skill assessment

• Risk and Evaluation duration calculation
• Evaluation planning
• Quoting process
• Audit planning
• Audit confirmation
• Stage 1 Audit undertaken
• Skills assessment Interview

Finish up

• Request Certificate
• Complete Evaluation Survey
• Receive and Upload Certificate
• Final Interview

Capability Verified by a Witnessed Activity

Demonstrate the Verification of Capability by a "Witnessed Actifity" by undertaking a Document Review and a Stage 2 (Third Party) audit and validating the following.

• Conformance to ISO 19011 Clause 7 applicability Competency, Awareness and Training;
• Demonstrate audit planning;
• Demonstrate the Possession of the necessary Industry Codes:
• Demonstrate the ability to perform a Stage 1 Audit;
• Demonstrate the ability to perform a Stage 2 Audit, to ready an organisation to achieve Third Party Industry Certification to ISO 37301:2021 Compliance Management and is in guidence with the ISO 26000:2010 Standard on Corporate Social Responsibility and Sustainability.

Insurances - Public Liability and Professional Indemnity Insurance Requirements for Professionals

It is a requirement for all Professionals undertaking audits on behalf of third parties that you are covered for both Public Liability and Professional Indemnity Insurance.

ACI Global's preferred supplier is "EnviroSure" with full details being found Here on their website.

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