Personal and Business Competencies

ISO 37001 Lead Auditor (ISO 37001 Lead Auditor).

The ISO 37001 Lead Auditor training course allows you to develop the knowledge necessary to conduct Anti-Bribery Management System (ABMS) audits by applying widely recognized auditing principles, procedures and techniques. During this training you will gain in-depth knowledge and skills in planning and conducting internal and external audits in accordance with the ISO 19011 and ISO/IEC 17021-1 certification process.

Issues

Anti-Corruption Management System (ABMS).
ISO 37001 standard
ABMS audits
ISO 19011
ISO/IEC 17021-1
Principles of anti-corruption auditing
ABMS audit planning
Audit techniques
Audit program
Audit reporting
Anti-corruption compliance
Managing the audit team

Benefits

The operation of an ABMS based on ISO 37001
Master the auditor's role in planning, conducting and monitoring an ABMS audit
They will learn how to plan, conduct, report and monitor an ABMS audit

Who is this training for?

Auditors willing to perform and conduct ABMS certification audits

Managers or consultants who want to master the ABMS audit process

Lawyers, compliance specialists, internal auditors

Prerequisites

Basic knowledge of Anticorruption Management Systems.
Knowledge of the requirements of the ISO 37001 standard
Experience in internal audits (preferred)
Knowledge of compliance and anti-corruption issues

Training program

Introduction to ISO 37001 — purpose, scope of application, definitions (bribery, corruption, facilitation payments), relationship with ISO 19600 and ISO 31000
Regulatory context — FCPA (USA), UK Bribery Act, EU whistleblower protection directive, anti-corruption regulations, Transparency International CPI
ISO 37001 requirements — organizational context, leadership and top management commitment, anti-bribery policy
Corruption risk assessment — threat identification (transactions, countries, sectors), risk analysis, business partner due diligence
Control mechanisms — preventive measures (gifts, donations, sponsorship), reporting channels (whistleblowing), training and awareness
Exercises: corruption risk analysis in a sample organization, mapping control mechanisms

Auditing principles — ISO 19011 (integrity, fair presentation, due professional care, confidentiality, independence, evidence-based approach)
Audit program — objectives, scope, schedule, resources, audit program management (annual plan)
Audit planning — audit objectives, scope and criteria, audit team, audit plan, checklists, working documents
Risk assessment in audit planning — risk-based approach, area prioritization (high-risk transactions, third countries)
Auditor competencies — industry knowledge, interpersonal skills, objectivity, auditor ethics
Exercises: developing an ABMS audit program, preparing an audit plan and checklist

Opening meeting — agenda, scope confirmation, communication with auditee, audit team roles
Audit techniques — interviews (open, closed, probing questions), observation, document review, sampling
Evidence gathering — audit evidence (documents, records, statements), audit trail, evidence triangulation
Auditing anti-bribery mechanisms — verifying due diligence, gift and donation controls, whistleblowing channels, training
Identifying nonconformities — classification (major, minor, observation), formulating audit findings, linking to standard requirements
Exercises: ABMS audit simulation — interviews with auditee, document analysis, nonconformity identification

Closing meeting — presenting findings, discussing nonconformities, recommendations, corrective action timeline
Audit report — report structure, formulating findings and conclusions, objectivity, terminology
Corrective actions — effectiveness assessment, implementation verification, follow-up audit, nonconformity closure
ISO 37001 certification process — stages (Stage 1, Stage 2), certification bodies (accreditation), surveillance audits, recertification
ISO/IEC 17021-1 — requirements for certification bodies, impartiality, certification auditor competencies
Exercises: writing an audit report, formulating nonconformities, evaluating corrective actions

Case study: complete ABMS audit cycle — from planning through conducting to reporting
Case study: auditing an international organization — cross-border risks, facilitation payments, supply chain due diligence
Managing difficult audit situations — auditee resistance, conflicts of interest, limited access to documentation
Integrating ABMS with other systems — ISO 9001 (quality), ISO 14001 (environment), ISO 27001 (information security)
PECB exam preparation — Lead Auditor exam structure, sample questions, passing strategies
Q&A session, training summary, feedback