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Training programme for Lead Auditor/Auditor of Compliance Management

System, according to ISO/DIS 19600


Purpose of Lean Compliance Business Solutions LCBS

Compliance is an outcome of an organization meeting its obligations, which include:
the laws and regulations applicable and having impact on its business
the contractual requirements agreed with its clients and other interested
parties
the requirements, chosen on a voluntary basis, according to companys
policies and interests.

Lean Compliance Management is a methodology whose main purposes include:
Identification, measurement and prevention of the key risks for the company
business continuity
Compliance to critical business requirements, both external and internal
Application of lean control of business processes to increase the efficiency and
profitability of organization

The search for a business solution to put into practice the previously given definition
of Lean Compliance Management brought to the proposal of a new management
model named: Lean Compliance Business Solutions (LCBS), which synthesizes
several powerful tools already well known in the business world.
LCBS is the brand of a network of international professionals, acting worldwide in
the field of Compliance Management. The activities carried out by LCBS
professionals can be followed up on http://www.lcbs-ww.com

One of the first initiatives carried out within LCBS has been the promotion of the
education activities in the field of Compliance Management which include the
training programme for Lead Auditor/Auditor of Compliance Management System,
according to ISO/DIS 19600.




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Registration of the training course

The training course for Lead Auditor/Auditor of Compliance Management System,
according to ISO/DIS 19600 has been certified in October 2014 by the European
Accredited Certification Body KHC - Know-How Certification http://www.khc.it

The 2-days training course, based on ISO 19011 standard, has been
certified by KHC in with registration number VI165

The 3-days training course for Auditor/Lead Auditor of Compliance
Management Systems, based on ISO/DIS 19600, has been certified
by KHC with registration number CMP166







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Introduction to the training programme
Compliance has become one of the main issues for organizations and businesses
regardless of dimension, production processes, applied technologies and target
markets. The growing importance of compliance is due to the huge number of
mandatory, compulsory and voluntary requirements that every business
organization has to comply with.
The higher the number of requirements, the higher the risk of breaching one or
more of them.
Consequences of noncompliance could even be disruptive for the business,
including civil or criminal charges, loss of reputation, fines, interruption to business
continuity, and loss of trust amongst investors and customers.
One of the solutions which companies are provided with, to prevent the
consequences of noncompliance, is the effective application of a Compliance
Management System (CMS).
The CMS aims to:
Enable the organization to manage effectively both the internal and the
external risks associated with any regulatory compliance.
Help mitigate liabilities and to protect the good reputation of the companies
and the trust of the market
The purpose of ISO/DIS 19600 standard is to provide organizations with guidance for
establishing, developing, implementing, evaluating, maintaining and improving an
effective and responsive compliance management system.
Our organization designed the training course for Lead Auditor/Auditor of
Compliance Management System, according to ISO/DIS 19600, to satisfy the needs
of:
- business organizations which are interested in receiving audit of their
Compliance Management System to evaluate its effectiveness
- Certification Bodies and Inspection Agencies which need qualified auditors to
provide the market with Compliance Management System audit services

The training programme is divided into two sections:
- a 2-days section, based on ISO 19011 standard, whose purpose is to train the
trainees on how to plan, perform and report audits of Management Systems
- a 3-days section, based on ISO/DIS 19600 standard, whose purpose is to train
the trainees on how to apply effectively the audit techniques to perform
Compliance Management System Audit.




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The first training section about ISO 19011 standard is not requested if the trainee is
already a certified Lead Auditor/Auditor of Management System. It is compulsory in
all the other cases to be admitted to the second section.
The exam at the end of the first section is essential to continue with the training
programme.
The exam at the end of the second section has to be passed to get the Certificate of
Competences as Lead Auditor/Auditor of Compliance Management System.
The trainees which do not pass the final exam at the end of the second section
obtain the Certificate of Participation and can repeat the exam with one of the
following classes.
As the training course is going to be recognized by the international accredited
Personnel Certification Body named KHC - Know-How Certification, all the details
about exams will be issued in the Regulation for Training Certification, as approved
by KHC.
Exams shall be held with the participation of a KHC Major Expert, to assure the
compliance with the Regulation.

Connection between the two sessions of the training course
The proposed training program consists of two interrelated parts.
The first part of 2 days duration, aimed at obtaining audit and development of
competencies within the organization based on ISO 19011. Skills monitoring and
audit provide information about the effectiveness and efficiency of the overall
management system.
The next three days are aimed to provide the participants with the necessary
competences to carry out effective audit process of Compliance Management
System according to ISO/DIS 19600, putting into practice the audit techniques
developed during the first two days, or already well known by the participants.
The structure of the training course has been designed to assure that Compliance
Management System Auditors can improve both communication and technical skills.
Communication skills are necessary to manage effectively all the audit process steps
in which the auditor has interactions with the auditee, the other auditors and any
other interested party who has title to participate the audit.
Technical skills are necessary to assure effectiveness in planning and carrying out
the audit and in reporting the audit findings and conclusions.
The methodology of the training course is based on the principle of learning by
doing. This is the reason of the highly demanding participation of the trainees to
teamwork sessions and individual presentations.




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The following process map depicts the flow of the training programme.








ISO 19011
2-days training
session
ISO 19011
Examination session
at the end of the 2nd day
LA/A of CMS ISO/DIS 19600
3-days training session
Examination
Result

LA/A of CMS ISO/DIS 19600
Examination session
at the end of the 3rd day
OK
Not OK
Examination
Result

OK
Not OK
Certification of Competences
Lead Auditor/Auditor of
Compliance Management Systems
ISO/DIS 19600
Certificate of
Competences
ISO 19011
Certificate of
Participation
LA/A of CMS
ISO/DIS 19600



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Certification Training "Audit of Management Systems according to ISO 19011"

Goals and objectives of the training:
To introduce the participants with:
- the concept and use of the process approach for management systems
- the PDCA (Plan-Do-Check-Act) methodology applied to the audit process
- standardization, certification, accreditation
- audit principles
- audit terms and definitions
- how to manage effectively an audit programme
- the audit plan
- how to carry out a management system audit
- the opening meeting
- how to collect information and process them
- how to write audit findings
- the closing meeting
- the audit report
- the follow-up actions
- auditor competences and their certification process


Outcomes for participants:

- to be able to plan, carry out and report an audit of Management System
according with ISO 19011 guidelines


Duration of training - 14 hours
Certification Exam 2 hours




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TRAINING PROGRAMME ISO 19011
First day (8 hrs)
Welcome to trainees and their presentation
Introduction to the training session about audit techniques
ISO 19011 process approach as a basis for the effective audit
ISO 19011 audit terms and definitions
ISO 19011 audit principles
Coffee break
ISO 19011 - audit programme
Exercise No 1 - audit programme
Lunch break
ISO 19011 Documented information review
ISO 19011 The audit plan
ISO 19011 The preparation of the audit
Exercise No 2 - preparation of audit plan and of check lists according to process
approach
Coffee break
ISO 19011 The opening meeting
Exercise No 3 - opening meeting (role play)
Second day (6hrs of lesson and 2 hrs for the exam)
ISO 19011 carrying out the audit the data collection
ISO 19011 carrying out the audit the teamwork and the role of the lead auditor
ISO 19011 carrying out the audit the writing of the findings
Exercise No 4 - data collection, teamwork, writing of the findings
Coffee break
ISO 19011 The final meeting
Exercise No 5 - final meeting (role play)
ISO 19011 The audit report
Exercise No 6 - The audit report
Lunch break
ISO 19011 The follow-up actions
Standardization, certification, accreditation
ISO 19011 competences and certification of auditors
Coffee break
Final examination session (only written test)




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Certification Training "Standard ISO/DIS 19600 of Compliance Management -
Introduction and use of it"

Goals and objectives of the training:

- To familiarize the participants with the new standard ISO/DIS 19600
- Show the possibility of use it for strategic and operational objectives of the
company
- Demonstrate the methods of implementation of the standard ISO/DIS 19600 in
management practice of company
- Harmonization and interaction of ISO/DIS 19600 with other international ISO
standards and corporate standards of organization

Outcomes for participants:

- Fully acquainted with the new standard, explore its features and differences
- Get the toolkit implementation in management practice of company
- to be able to plan, carry out and report an audit of compliance management
system
- Receive recommendations on interaction with other standards of ISO system

Duration of training - 20 hours
Certification Exam 4 hours




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TRAINING PROGRAMME

TRAINING PROGRAMME ISO 19600
First day (8 hrs)
Welcome to trainees and their presentation
Introduction to the training session about audit of ISO/DIS 19600 compliance
management system
Introduction to ISO/DIS 19600
The new structure of the standard
Basic concepts, terms and definitions
ISO/DIS 19600 chapter 4 context of the organization
Coffee break
ISO/DIS 19600 group work N.1 context of the organization
ISO/DIS 19600 group work N.1 presentation and discussion
ISO/DIS 19600 chapter 5 leadership
Lunch break
ISO/DIS 19600 group work N.2 leadership and commitment, policies and
organization
ISO/DIS 19600 group work N.2 presentation and discussion
ISO/DIS 19600 chapter 6 planning
Coffee break
ISO/DIS 19600 group work N.3 planning compliance risks evaluation
ISO/DIS 19600 group work N.3 presentation and discussion
ISO/DIS 19600 chapter 7 Support




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Second day (8hrs)
ISO/DIS 19600 group work N.4 support, resources, competences,
communication
ISO/DIS 19600 group work N.4 presentation and discussion
ISO/DIS 19600 chapter 8 Operation
Coffee break
ISO/DIS 19600 group work N.5 Operation
ISO/DIS 19600 group work N.5 presentation and discussion
ISO/DIS 19600 chapter 9 Performance evaluation
Lunch break
ISO/DIS 19600 group work N.6 performance evaluation
ISO/DIS 19600 group work N.6 presentation and discussion
ISO/DIS 19600 chapter 10 Improvement
ISO/DIS 19600 group work N.7 improvement, nonconformity, noncompliance
and corrective actions
ISO/DIS 19600 group work N.7 presentation and discussion
Coffee break
Instructions on how to write audit findings and audit report
Classification of audit findings
Final group work: scenarios and writing of:
- audit findings
- audit report
Role play final audit meeting and presentation of audit findings and audit
conclusions
Third day (2hrs lesson + 6hrs exams)
Final discussion
Customer satisfaction survey
KHC certification scheme presentation
Rules for the exam
Coffee break
Final examination session:
- final group work presentation
- written examination ISO/DIS 19600 guidelines
- written examination Findings and their classification
- individual oral examination about audit process of compliance management
system (ISO 19011 and ISO/DIS 19600)