A multinational company is implementing ISO 37301:2021. Top management argues that their existing compliance policies are sufficient and see no need for formalizing a Compliance Management System (CMS). As a lead auditor, which principle of management systems would you highlight to justify the need for a systematic CMS?
During a gap assessment, you observe that the organization has compliance objectives but no monitoring or reporting mechanism. Which ISO 37301 principle is not being demonstrated?
A compliance officer insists that ISO 37301 certification is solely about “document control.” Which response best reflects the real intent of the standard?
An organization’s CMS identifies corruption risk as significant but has not allocated resources to address it. Which CMS principle is compromised?
During a board meeting, executives ask why ISO 37301 requires integration with other management systems. What is the most appropriate explanation?
1 out of 5
As a lead auditor, you discover a potential conflict of interest because one of your team members previously worked for the auditee. What should you do?
An auditor on your team insists that minor nonconformities can be overlooked to maintain client relationships. What is your responsibility as lead auditor?
During an audit, the auditee refuses access to critical compliance records, claiming “confidentiality.” How should you proceed?
Your audit team identifies evidence of fraud that could constitute a criminal act. What is your responsibility?
In an opening meeting, the auditee asks whether auditors will provide consultancy services after the audit. What should be your response?
2 out of 5
During audit planning, the auditee informs you that one site has been closed temporarily. What should you do as lead auditor?
The audit plan shows interviews scheduled only with compliance officers. Which planning weakness does this represent?
You are planning an audit of a company with high compliance risks in third-party dealings. Which audit sampling approach is most appropriate?
The auditee’s compliance officer insists that the audit should only last half a day for efficiency. What should you do?
While drafting the audit plan, you realize your team lacks knowledge of anti-bribery laws relevant to the audit scope. What is the best course of action?
3 out of 5
During an interview, an employee hesitates to speak freely and looks fearful. What should you do as auditor?
While auditing, you notice that the compliance risk assessment has not been updated in two years. Which clause does this indicate a potential nonconformity against?
An auditee provides incomplete training records, claiming the rest were lost. What is your next step?
The audit team observes that compliance commitments are not aligned with national anti-money laundering laws. Which clause requires such obligations to be identified and fulfilled?
During site visits, you find undocumented procedures being practiced consistently. How should you evaluate this?
4 out of 5
After concluding the audit, management requests that you remove two major nonconformities from your report to protect their reputation. What should you do?
In your closing meeting, you present findings, but top management insists that no corrective action is necessary. How should you respond?
An auditor’s report contains excessive technical jargon, making it difficult for top management to understand. Which reporting principle is being violated?
During reporting, you classify a nonconformity as “major.” Which justification is most valid?
After submitting the final report, you are asked to recommend corrective actions for each finding. What should you do?
5 out of 5
