PECB ISO 37301 Lead Auditor case studies
PECB ISO 37301 Lead Auditor · Put your knowledge to work in context.
The PECB Certified ISO 37301 Lead Auditor credential is aimed at professionals who audit compliance management systems (CMS) against ISO 37301. PECB describes the training course as building the competence to perform CMS audits using widely recognized audit principles, procedures, and techniques, drawing on the auditing guidance in ISO 19011 and the certification process described in ISO/IEC 17021-1. The PECB ISO 37301 Lead Auditor case studies are 5 cases and about 2,686 words.
1Scope boundary and the customs subsidiary
Northwind Logistics Ltd is a 1,400-employee freight forwarder seeking ISO 37301 certification. Its draft scope statement reads: "Freight forwarding, warehousing and customs clearance services, excluding customs brokerage services provided by Northwind Customs Brokers GmbH, a wholly owned subsidiary in Hamburg." The subsidiary has 60 staff, €18 million revenue, uses the parent's compliance policy and whistleblowing hotline, and the parent's compliance officer approves its procedures.
588 words, about 3 min2Redacted risk records before a stage 2 audit
Meridian Bank is preparing for a stage 2 ISO 37301 certification audit. The lead auditor receives a document pack in which the minutes of the compliance risk assessment committee are almost entirely redacted as "legally privileged".
552 words, about 3 min3Supplier screening sample and the inaccessible shared service
During a surveillance audit of a 900-employee engineering firm, the lead auditor samples 25 supplier contracts from a population of 410 active suppliers. Three contracts lack the required compliance screening before award.
510 words, about 3 min4Closing a major finding after the agent is terminated
At the closing meeting of a certification audit, the lead auditor presents a major nonconformity: the company paid a sales agent in a high-risk jurisdiction US$4.2 million over 18 months without due diligence or contract clauses on anti-bribery. The compliance officer says the agent was terminated two days ago, the payments have stopped, and the CEO has signed a memo requiring due diligence for all new agents.
512 words, about 3 min5A one-auditor programme after a merger and a whistleblower complaint
An audit committee reviews the internal audit programme of a 2,500-employee insurer. The compliance manager, who is also the only person qualified as an internal auditor, has scheduled one audit per year for three years, each covering all ISO 37301 clauses at head office.
524 words, about 3 min