ISO 37001 Lead Auditor (SMAC)

Why should you attend?

The PECB Certified ISO 37001 Lead Auditor training course provides the necessary knowledge and skills that enable you to perform anti-bribery management system (ABMS) audits by applying widely recognized audit principles, procedures, and techniques.

Many organizations seek competent auditors to determine whether the policies and anti-bribery controls, implemented as part of an ISO 37001-based ABMS, are effective. This training course aims to help you complete these tasks successfully and intends to reflect the importance of effective ABMS audits. Additionally, it aims to strengthen your knowledge and skills to plan and carry out ABMS audits in compliance with the guidelines for auditing management systems provided in ISO 19011 and the certification process described in ISO/IEC 17021-1.

The exercises, quizzes, and case studies provided are designed to help you practice the most important aspects of an ABMS audit: ISO 37001 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.

The successful completion of the training course is followed by an exam. If you pass the exam, you can apply for the “PECB Certified ISO 37001 Lead Auditor” credential. An IAS accredited and internationally recognized “PECB ISO 37001 Lead Auditor” certificate validates your professional capabilities and demonstrates your ability to audit an ABMS based on ISO 37001.

Who should attend?

The ISO 37001 Lead Auditor training course is intended for:

Auditors seeking to perform and lead ABMS audits
Managers or consultants seeking to master the ABMS audit process
Individuals responsible for maintaining conformity to ISO 37001 requirements in an organization
Technical experts seeking to prepare for an ABMS audit
Expert advisors in anti-bribery management

Learning objectives

By the end of this training course, the participants will be able to:

Explain the fundamental concepts and principles of an anti-bribery management system (ABMS) based on ISO 37001
Interpret the ISO 37001 requirements for an ABMS from the perspective of an auditor
Evaluate the ABMS conformity to ISO 37001 requirements, in accordance with the fundamental audit concepts and principles
Plan, conduct, and close an ISO 37001 compliance audit, in accordance with ISO/IEC 17021-1 requirements, ISO 19011 guidelines, and other best practices of auditing
Manage an ISO 37001 audit program

Educational approach

This training course is participant centered and contains:

Theories, approaches, and best practices used in anti-bribery management system auditing
Lecture sessions, which are illustrated with case studies inspired by real events and practical exercises based on a case study that includes role-playing and discussions
Interaction between participants by means of questions and suggestions

Prerequisites

The main requirements for participating in this training course are a fundamental understanding of ISO 37001 requirements for an ABMS and a comprehensive knowledge of audit principles.

Course agenda

Day 1: Introduction to the anti-bribery management system (ABMS) and ISO 37001
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 37001 Lead Auditor 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 an anti-bribery management system
Domain 2: Anti-bribery management system requirements
Domain 3: Fundamental audit concepts and principles
Domain 4: Preparing an ISO 37001 audit
Domain 5: Conducting an ISO 37001 audit
Domain 6: Closing an ISO 37001 audit
Domain 7: Managing an ISO 37001 audit program

For specific information about exam type, languages available, and other details, please visit the List of PECB.

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.

The PECB ISO 37001 Auditor certification scheme has the following requirements:

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Credential	Exam	Professional experience	MS audit/assessment experience	Other requirements
PECB Certified ISO 37001 Provisional Auditor	PECB Certified ISO 37001 Lead Auditor Exam or equivalent	None	None	Signing the PECB Code of Ethics
PECB Certified ISO 37001 Auditor	PECB Certified ISO 37001 Lead Auditor Exam or equivalent	Two years: One year of work experience in Anti-bribery Management	Audit activities: a total of 200 hours	Signing the PECB Code of Ethics
PECB Certified ISO 37001 Lead Auditor	PECB Certified ISO 37001 Lead Auditor Exam or equivalent	Five years: Two years of work experience in Anti-bribery Management	Audit activities: a total of 300 hours	Signing the PECB Code of Ethics
PECB Certified ISO 37001 Senior Lead Auditor	PECB Certified ISO 37001 Lead Auditor Exam or equivalent	Ten years: Seven years of work experience in Anti-bribery Management	Audit activities: a total of 1,000 hours	Signing the PECB Code of Ethics

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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,

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

ISO 37001LA