ISO 37301 Compliance Management System – Training Courses
What is ISO 37301?
ISO 37301 is a Type A management system standard which sets out the requirements and provides guidelines for establishing, developing, implementing, evaluating, maintaining, and continually improving a compliance management system (CMS). A CMS provides organizations a structured approach to meet all compliance obligations, i.e., requirements that they mandatorily have to comply with such as laws, regulations, court rulings, permits, licenses, as well as those that they voluntarily choose to comply with such as internal policies and procedures, codes of conduct, standards, and agreements with communities or NGOs.
ISO 37301 can be applied to all organizations, regardless of their size, nature, or complexity of activity. CMS is based upon the principles of integrity, good governance, proportionality, transparency, accountability, and sustainability.
As with the most of management system standards, ISO 37301 also follows the high-level structure (HLS) developed by ISO. The HLS structure defines the common terminology and definitions used, as well as the clause sequence (1 to 10), where the requirements for the CMS are set out in clauses 4 to 10. The HLS enables organizations to integrate various management systems, meaning that organizations can either adopt a CMS as a stand-alone management system or they can integrate it with other existing management systems.
Didn’t ISO already publish a standard on compliance management systems?
Yes, in 2014, ISO 19600 Compliance management systems — Guidelines was published. The main difference between these two standards is that organizations can get certified against ISO 37301 by undergoing a conformity assessment via an independent third party. Nevertheless, ISO 37301 builds and expands upon its predecessor (ISO 19600), and organizations that established a CMS based on the guidelines of ISO 19600 already have a head start in complying with the requirements of ISO 37301.
Why is ISO 37301 important for organizations?
For organizations seeking growth and long-term success, consistently adhering to compliance obligations is a must, not an option. A CMS based on the requirements and guidance of ISO 37301 equips organizations with a set of tools (policies, processes, and controls) that allows them to establish and maintain a culture of compliance.
Organizations with a CMS based on ISO 37301 commit to sound norms of corporate governance, good practices, and ethical conduct. However, the CMS cannot completely eliminate the risk of noncompliance. In this regard, ISO 37301’s requirements and guidance improve the organization’s ability to identify and respond to noncompliance. In some jurisdictions, the existence of a CMS can be an indicator of the organization’s due diligence and commitment to compliance which may be useful in limiting legal liability and lowering penalties for contraventions of relevant laws.
ISO 37301 includes requirements that address competence, communication, and awareness. By complying with these requirements, organizations ensure that the vision of the top management is translated and embedded into the conduct of managers and employees. ISO 37301 also requires and encourages the establishment of concise and effective policies, procedures, and controls which set organizations on a path toward a compliance culture and high ethical and integrity standards.
ISO 37301 outlines the quest toward compliance, which begins with setting the tone at the top of the organization. The commitment toward a good compliance culture is articulated by the organization’s governing body and top management through a compliance policy and the setting of compliance objectives at various levels. In addition, the governing body and top management are also required to show leadership and commitment by providing the necessary resources, establishing a compliance function, defining the roles and responsibilities and so on. Above all, the governing body and top management should actively and visibly demonstrate their commitment to the CMS through their actions and decisions.
Why should you pursue a certification in ISO 37301?
Internationally recognized, PECB certifications represent peer recognition of an individual’s professional capabilities to contribute in an organization’s CMS, as an auditor, implementer, or CMS implementation team member. By attending one of our ISO 37301 training courses, you have the opportunity to develop your competence in order to help organizations meet their compliance obligations.
- ISO 37301 Introduction training course is appropriate for professionals who want to have a brief and general understanding of ISO 37301 requirements for a CMS
- ISO 37301 Transition training course is appropriate for professionals who are already acquainted with ISO 19600 and want to update their knowledge.
- ISO 37301 Foundation training course is appropriate for entry-level professionals and members of a compliance team. This two-day training course familiarizes you with ISO 37301 requirements and guidance for a compliance management system.
- ISO 37301 Lead Implementer is a five-day training course that allows you to acquire the necessary knowledge and skills to implement a CMS in an organization, based on the requirements and guidance of ISO 37301.
- ISO 37301 Lead Auditor is also a five-day training course which aims to improve your professional capabilities to audit a CMS based on ISO 37301, in compliance with the guidelines for auditing management systems provided in ISO 19011 and the certification process described in ISO/IEC 17021-1.
Benefits of implementing ISO 37301 in an organization
By implementing a CMS based on ISO 37301, organizations will be able to:
- Undergo a formal third-party conformity assessment for their CMS
- Develop a positive culture of compliance
- Quickly and effectively address compliance concerns
- Protect their reputation and safeguard their integrity by preventing and detecting unethical conduct
- Improve business opportunities and sustainability
- Carefully consider requirements and expectations of internal and external interested parties
- Develop strong and valuable relationships with regulators
- Increase the confidence of third parties in the organization’s capacity to achieve sustained success
- Build customer trust and loyalty
How do I get started with ISO 37301 training courses?
Considering the rapid development of industries and global market competition, being an ISO 37301 certified professional gives you the opportunity to help your organization continuously meet compliance obligations.
Our experts are willing to assist you in the process of obtaining an ISO 37301 credential and developing your career skills.
Contact us to begin with the first step
PECB Certified ISO 37301 Training Courses Available
Enhance your knowledge and advance your career by participating in our ISO 37301 training courses. Check the training courses below and find the one that suits you best.
Why should you attend?
ISO 37301 Introduction training course introduces you to the basic concepts of compliance and ISO 37301 requirements for a compliance management system (CMS). Moreover, this training course shows the importance of a CMS and the benefits resulting from its implementation.
Who should attend?
- Managers, consultants, and compliance officers wishing to get introduced to ISO 37301 requirements for a CMS
- 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
Learning objectives
This training course will help you:
- Develop an overall understanding of the compliance concepts
- Have a general understanding of the ISO 37301 requirements for a compliance management system (CMS)
Educational Approach
This training course is participant centered and contains:
- Essay-type exercises and multiple-choice quizzes
- Interaction between participants by means of questions and suggestions
Prerequisites
There are no prerequisites to participate in this training course.
Course Agenda
Day 1: Introduction to ISO 37301 requirements for a compliance management system (CMS)
General Information
- Training material of over 100 pages of information and practical examples will be provided.
- An attestation of course completion worth 7 CPD (Continuing Professional Development) credits will be issued to participants who have attended the training course.
Why should you attend?
The PECB Certified ISO 37301 Foundation training course presents the basic concepts of compliance and the requirements of ISO 37301 for a compliance management system (CMS). In this training course, you will learn about the various aspects of a CMS, including the compliance policy, compliance culture, compliance risk assessment, operational controls, performance measurements, leadership and commitment, internal audit, management review, and continual improvement.
After completing the training course, you can sit for the exam. If you successfully pass the exam, you can apply for the “PECB Certificate Holder in ISO 37301 Foundation” certificate. An internationally recognized “PECB ISO 37301 Foundation” certificate demonstrates that you have the necessary professional capabilities to be part of an ISO 37301 CMS implementation project.
Who should attend?
The ISO 37301 Foundation training course is intended for:
- Managers and consultants seeking knowledge about the basic concepts of a CMS
- Compliance officers and members of compliance teams who want to get acquainted with ISO 37301’s requirements
- Individuals wishing to contribute in maintaining the organizational integrity by supporting ethical behavior
- Managers and members of governance, risk management, and compliance teams
- Individuals wishing to pursue a career as a compliance officer
Learning objectives
By participating in this training course, you will:
- Understand the basic compliance management concepts, definitions, and approaches
- Get acquainted with the ISO 37301 requirements for a compliance management system
- Develop a general understanding of how an organization can meet the requirements of ISO 37301
Educational approach
The training course is participant centered and contains:
- Lecture sessions illustrated with graphics, examples, and discussions
- Interactions between participants by means of questions and suggestions
- Quizzes with similar structure to the certificate exam
Prerequisites
There are no prerequisites to participate in this training course.
Course Agenda
Day 1: Introduction to compliance concepts, CMS, and clauses 4-6 of ISO 37301
Day 2: Clauses 7-10 of ISO 37301 and certificate exam
Examination
The exam fully meets the requirements of the PECB Examination and Certificate Programme. It covers the following competency domains:
Domain 1: Fundamental concepts and principles of compliance and the CMS based on ISO 37301
Domain 2: ISO 37301 requirements for a compliance management system – Clauses 4 to 10
For specific information about exam type, languages available, and other details, please visit the List of PECB Exams and the Examination Rules and Policies.
Certification
After successfully completing the exam, you can apply for the credential shown on the table below.
The certificate requirements for the ISO 37301 Foundation are:
Designation Exam Professional experience MS audit/assessment experience CMS project experience Other requirements PECB Certificate Holder in ISO 37301 Foundation Pass the PECB ISO 37301 Foundation exam None None None Signing the PECB Code of Ethics
General Information
- Certificate and examination fees are included in the price of the training course
- Training material containing over 200 pages of information and practical examples will be given to each participant.
- An attestation of course completion worth 14 CPD (Continuing Professional Development) credits will be issued to participants who have attended the training course.
- In case participant(s) fail to pass the exam, they can retake the exam once for free within 12 months of the initial exam date.
Why should you attend?
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.
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.
The training course enables you to help organizations establish processes needed to adhere to all compliance obligations and establish controls that proactively prevent noncompliance and contribute to the creation of a culture of integrity, transparency, and openness.
The training course is followed by the certification exam. If you pass, you can apply for the “PECB Certified ISO 37301 Lead Implementer” credential. The “PECB ISO 37301 Lead Implementer” certificate is internationally recognized. It validates your professional capabilities and competences to implement a CMS in an organization based on the requirements of ISO 37301.
Who should attend?
- 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
Learning objectives
By the end of this training course, participants will be able to:
- Explain the concepts, approaches, methods, and techniques used for the implementation and effective management of a CMS
- Explain the relationship between ISO 37301 and other standards and regulatory frameworks
- Interpret the requirements of ISO 37301 from the perspective of an implementer
- Support organizations in establishing, implementing, maintaining, and continually improving their CMS based on ISO 37301
- Prepare an organization to undergo a third-party certification audit
Educational approach
This training course is learner-centered and contains:
- Approaches and best practices used in compliance management system implementation, operation, maintenance, and continual improvement
- Theoretical basis supported by practical examples, throughout the four days of the training course
- Lecture sessions illustrated with practical examples based on a case study
- Interaction between the trainers and participants by means of questions and discussions
- Stand-alone quizzes and scenario-based quizzes intended to prepare the participants for the certification exam
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) and the MS implementation principles.
Course Agenda
Day 1: Introduction to ISO 37301 and the initiation of a CMS implementation
Day 2: Implementation plan of a CMS
Day 3: Implementation of a CMS
Day 4: CMS monitoring, continual improvement, and preparation for the certification audit
Day 5: Certification exam
Examination
The PECB Certified ISO 37301 Lead Implementer exam fully meets the requirements of the PECB Examination and Certification Program (ECP). It covers the following competency domains:
Domain 1: Fundamental principles and concepts of a compliance management system
Domain 2: Initiation of a CMS implementation
Domain 3: Planning of a CMS implementation based on ISO 37301
Domain 4: Implementation of a CMS based on ISO 37301
Domain 5: Monitoring and measurement of a CMS based on ISO 37301
Domain 6: Continual improvement of a CMS based on ISO 37301
Domain 7: Preparation for a CMS certification audit
For specific information about exam type, languages available, and other details, please visit the List of PECB Exams and the Examination Rules and Policies.
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 9001 credentials and the PECB certification process, please refer to the Certification Rules and Policies.
The PECB ISO 37301 Implementer certification scheme has the following requirements:
Credential Exam Professional experience CMS project experience Other requirements PECB Certified ISO 37301 Provisional Implementer PECB Certified ISO 37301 Lead Implementer exam or equivalent None None Signing the PECB Code of Ethics PECB Certified ISO 37301 Implementer PECB Certified ISO 37301 Lead Implementer exam or equivalent Two years, of which one in compliance management At least 200 hours of activities Signing the PECB Code of Ethics PECB Certified ISO 37301 Lead Implementer PECB Certified ISO 37301 Lead Implementer exam or equivalent Five years, of which two in compliance management At least 300 hours of activities Signing the PECB Code of Ethics PECB Certified ISO 37301 Senior Lead Implementer PECB Certified ISO 37301 Lead Implementer exam or equivalent Ten years, of which seven in compliance management At least 1,000 hours of activities Signing the PECB Code of Ethics Note: PECB certified individuals who possess the Lead Implementer and Lead Auditor credentials are qualified for the respective PECB Master credential, given they have taken four additional Foundation exams related to the scheme. For more information about the Foundation exams and the overall Master credential requirements, go to https://pecb.com/en/master-credentials.
To be considered valid, the implementation activities should follow best practices and include the following:
- Drafting a CMS implementation plan
- Managing or leading CMS implementation projects
- Implementing the CMS
- Managing documented information
- Implementing corrective actions
- Establishing performance indicators and evaluating the CMS performance
- Performing continual improvement activities
General Information
- Certification and examination fees are included in the price of the training course.
- PECB will provide over 500 pages of instructional materials containing explanations, guidance, and practical examples.
- An attestation of course completion worth 31 CPD (Continuing Professional Development) credits will be issued to participants who have attended 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.
Why should you attend?
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.
Who should attend?
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
Learning objectives
This training course enables 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
Educational approach
This training course is participant centered and contains:
- Theories, approaches, and best practices used in ISO management system audits
- Lecture sessions illustrated with examples based on case studies that were inspired by real events
- Practical exercises based on a case study which includes role-playing and discussions
- Interaction between participants by means of questions and suggestions
- Quizzes with stand-alone questions and scenario-based questions, tailored to prepare the participants for the certification exam
Prerequisites
A fundamental understanding of ISO 37301 requirements (or ISO 19600 guidelines) for a CMS and a comprehensive knowledge of audit principles.
Course Agenda
Day 1: Introduction to the compliance management system (CMS) and ISO 37301
Day 2: Audit principles and the preparation for and initiation of an audit
Day 3: On-site audit activities
Day 4: Closing of the audit
Day 5: Certification exam
Examination
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
For specific information about exam type, languages available, and other details, please visit the List of PECB Exams and the Examination Rules and Policies.
Certification
After successfully completing the exam, you can apply for one of the credentials shown on the table below. You will receive a certificate once you comply with all the requirements related to the selected credential.
For more information about the ISO 37301 certifications and the PECB certification process, please refer to the Certification Rules and Policies.
The requirements for PECB ISO 37301 Auditor certifications are as shown in the table below:
Credential Exam Professional experience MS audit/assessment experience Other requirements PECB Certified ISO 37301 Provisional Auditor PECB Certified ISO 37301 Lead Auditor exam, or equivalent None None Signing the PECB Code of Ethics PECB Certified ISO 37301 Auditor PECB Certified ISO 37301 Lead Auditor exam, or equivalent Two years, of which one in compliance management At least 200 hours of audit activities Signing the PECB Code of Ethics PECB Certified ISO 37301 Lead Auditor PECB Certified ISO 37301 Lead Auditor exam, or equivalent Five years, of which two in compliance management At least 300 hours of audit activities Signing the PECB Code of Ethics PECB Certified ISO 37301 Senior Lead Auditor PECB Certified ISO 37301 Lead Auditor exam, or equivalent Ten years, of which seven in compliance management At least 1,000 hours of audit activities Signing the PECB Code of Ethics Note: PECB certified individuals who possess both the Lead Implementer and Lead Auditor credentials are qualified for the respective PECB Master Credential, given they have taken 4 additional Foundation Exams related to this scheme. For more information about the Foundation Exams and the overall Master Requirements, please go to PECB Master Credentials.
To be considered valid, the audit activities should follow best audit practices and include the following:
- Planning an audit
- Managing an audit program
- Drafting audit reports
- Drafting nonconformity reports
- Drafting audit work documents
- Reviewing documented information
- Conducting on-site audit
- Following up on nonconformities
- Leading an audit team
General Information
- Certification and examination fees are included in the price of the training course
- PECB will provide training material of over 450 pages of information and practical examples.
- An attestation of course completion worth 31 CPD (Continuing Professional Development) credits will be issued to participants who have attended 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.
Why Should You Attend?
You may already be familiar with ISO 19600 guidelines for establishing, developing, implementing, evaluating, maintaining, and improving an effective and responsive compliance management system (CMS). Due to increased interest in ensuring organizations’ accountability and responsibility, this standard has been replaced by ISO 37301, a Type A management system standard against which organizations can formally assess and certify their CMS.
The ISO 37301 Transition training course enables you to obtain a detailed understanding of the differences between ISO 37301 and ISO 19600 by making clause-by-clause comparisons to showcase the changes, updates, and new requirements of ISO 37301. As such, you should be able to support an organization in transitioning their CMS from ISO 19600 recommendations to ISO 37301 requirements.
Once you become acquainted with the new concepts and requirements of ISO 37301 and attending the training course, you can sit for the exam, and if successfully passed, you can apply for the “PECB Certified ISO 37301 Transition” credential. This certificate proves that you have an up-to-date knowledge to successfully apply the ISO 37301 changes to an existing CMS.
Who Should Attend?
The ISO 37301 Transition training course is intended for:
- Individuals wishing to develop an up-to-date understanding of ISO 37301 requirements for a CMS and its main differences from ISO 19600 recommendations
- Individuals responsible for transitioning a CMS from ISO 19600 to ISO 37301
- Managers, trainers, and consultants
- Professionals wishing to update their ISO 19600 certificates
Learning Objectives
By participating in this training course, you will:
- Learn about the main differences between ISO 19600 and ISO 37301
- Comprehend the new concepts and requirements of ISO 37301
- Learn how to effectively apply the ISO 37301 changes to an existing compliance management system
Educational Approach
The training course is participant centered and contains:
- This training course is based on theory, and best practices used in the process of transitioning a CMS from ISO 19600 to ISO 37301
- Lecture sessions illustrated with graphics, examples, and discussions
- Interactions between participants by means of questions and suggestions
- Quizzes with similar structure to the certification exam
Prerequisites
Participants who attend this training course need to have a fundamental understanding of compliance concepts, ISO 19600 recommendations, and a comprehensive knowledge of the transition process.
Course Agenda
Day 1: Introduction to ISO 37301 and comparison with ISO 19600
Day 2: ISO 37301 — ISO 19600 clause-by-clause comparison and certification exam
Examination
The “PECB Certified ISO 37301 Transition” exam fully meets the requirements of the PECB Examination and Certification Program (ECP). It covers the following competency domains:
Domain 1: Understand the differences between ISO 19600 and ISO 37301
Domain 2: Understand, interpret, and plan the implementation of ISO 37301 changes
For specific information about exam type, languages available, and other details, please visit the List of PECB Exams and the Exam Rules and Policies.
Certification
After successfully passing the exam, you can apply for the credential shown on the table below. For more information about ISO 37301 certifications and the PECB certification process, please visit the Certification Rules and Policies.
The requirements for PECB Certified ISO 37301 Transition certificate are:
Credential Exam Professional experience MS audit/assessment experience CMS project experience Other requirements PECB Certified ISO 37301 Transition PECB Certified ISO 37301 Transition Exam or equivalent None None None Signing the PECB Code of Ethics
General Information
- Certification and examination fees are included in the price of the training course
- Training material containing over 120 pages of information and practical examples will be given to each participant.
- An attestation of course completion worth 14 CPD (Continuing Professional Development) credits will be issued to participants who have attended the training course.
- In case participant(s) fail to pass the exam, they can retake the exam once for free within 12 months of the initial exam date.