ISO 37301:2021 - COMPLIANCE MANAGEMENT SYSTEMS
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- ISO 37301:2021 - Compliance Management Systems
Description
As an international standard, ISO 37301 specifies the requirements for organizations that wants to demonstrate effective and efficient delivery of compliance that supports the objectives of the demand organization; A CMS provides organizations a structured approach to meet all compliance obligations, i.e., requirements that they mandatorily have to comply with such as laws, regulations, court rulings, permits, licenses, as well as those that they voluntarily choose to comply with such as internal policies and procedures, codes of conduct, standards, and agreements with communities or NGOs.
ISO 37301 can be applied to all organizations, regardless of their size, nature, or complexity of activity. CMS is based upon the principles of integrity, good governance, proportionality, transparency, accountability, and sustainability. Hence why, ISO 37301 certified professionals are considered a strong asset to any organization.
By implementing ISO 37301, the certified professionals will help organizations to meet their compliance obligations.
Benefits of ISO 37301 Certification
- Gain expertise on Compliance Management
- Develop a positive culture of compliance.
- Quickly and effectively address compliance concerns
- Protect their reputation and safeguard their integrity by preventing and detecting unethical conduct
- Improve business sustainability
- Carefully consider requirements and expectations of internal and external interested parties
- Develop strong and valuable relationships with regulators
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ISO 37301 Foundation (FD):
ISO 37301 Foundation training enables participants to gain the basic concepts of compliance and the requirements of ISO 37301 for a compliance management system (CMS). In this training course, you will learn about the various aspects of a CMS, including the compliance policy, compliance culture, compliance risk assessment, operational controls, performance measurements, leadership and commitment, internal audit, management review, and continual improvement.
After completing this course, participants can sit for the exam. Once participants meet the pass mark, he/she will be given an “SandBP Certified ISO 37301 Foundation” credential. A SandBP Foundation Certificate shows that the participants have understood the fundamental methodologies, requirements, framework, and management approach.
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ISO 37301 Lead Implementer (LI):
ISO 37301 Lead Implementer training provides participants the knowledge needed to establish, implement, manage, maintain, and continually improve a CMS. It aims to provide an in-depth understanding of ISO 37301 requirements, as well as the best practices and approaches used for the implementation and subsequent maintenance of the compliance management system.
After mastering all the necessary concepts of Compliance Management Systems, participants can sit for the exam. By holding an SandBP Lead Auditor Certificate, the participant can be able to demonstrate that he/she has the practical knowledge and professional capabilities to implement ISO 37301 in an organization.
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ISO 37301 Lead Auditor (LA):
The ISO 37301 Lead Auditor training enables you to develop the necessary expertise to perform a Compliance Management System (CMS) audit by applying widely recognized audit principles, procedures and techniques. During this training course, you will acquire the knowledge and skills to plan and carry out internal and external audits in compliance with ISO 19011 and the certification process according to ISO/IEC 17021-1.
After acquiring the necessary expertise to perform this audit, participants can sit for the exam. Once participants meet the pass mark, he/she will be given a “SandBP Certified ISO 37301 Lead Auditor” credential. By holding an SandBP Lead Auditor Certificate, the participant can be able to demonstrate that he/she has the practical knowledge and professional capabilities to audit ISO 37301 in an organization.
Certification
- Candidates who score 70% and above in the examination will be issued an SANDBP certificate.
- In case you do not meet the pass mark, you can retake the exam for FREE after the first attempt while subsequent retakes would come at a cost.
Criteria for Suspending and Withdrawing the Scope of Certification
SANDBP reserves the right to suspend or revoke certifications for reasons including fraud, deceit, or submission of inaccurate data.
Process:
- Certificate holders will be notified by certified mail if evidence of charges is found.
- They may present their defense in writing to the certification board.
- The board will review the case and decide to uphold or deny the suspension/revocation.
Causes for Suspension/Withdrawal:
- Improper use of certificates/logos
- Malpractices
- Providing false information
- Ineligibility for applied examinations
- Voluntary suspension requests
Recertification Process
Recertification ensures that certified individuals maintain their knowledge and skills in line with the latest standards and practices. It is a critical process that reaffirms the competency of certified professionals, allowing them to stay current with evolving industry standards.
Criteria for Recertification:
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Transition Exam:
* Individuals must take and pass a transition exam when there is a change in the current version of the certification standard.
* The transition exam focuses on the updates and changes in the new version of the standard, ensuring that certified individuals are knowledgeable about the latest requirements and practices. -
Adherence to Code of Ethics:
Certified individuals must adhere to a code of ethics, demonstrating professionalism and integrity in their practice. Any violations of the code of ethics may result in the suspension or revocation of certification
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Payment of Recertification Fees:
Payment of the required recertification fees is necessary to process and validate the renewal of certification.
Introduction
To maintain the integrity and fairness of our examinations, specific guidelines have been established for proctoring. These rules apply to all candidates and must be adhered to strictly. Failure to comply may result in disqualification or other disciplinary actions.
General Requirements
Technology Setup
- Device: Use a desktop or laptop with a working webcam and microphone. Mobile phones or tablets are not permitted unless explicitly allowed.
- Internet: Ensure a stable internet connection with sufficient bandwidth to stream video and audio continuously.
- Browser: Use the designated browser as specified by the exam platform.
- Power Backup: Ensure your device is fully charged and/or connected to a reliable power source.
Environmental Setup
- Location: Choose a quiet, well-lit room with minimal distractions.
- Background: Ensure the background is plain and free of any clutter or distractions.
- Privacy: No other person is allowed in the room during the examination.
Pre-Exam Procedures
Present a valid government-issued photo ID or institution-approved identification document. Ensure that no unauthorized materials (e.g., books, notes, or electronic devices) are present.
During the Exam
Behavior Guideline
- Focus on the Screen: Avoid looking away from the screen for extended periods.
- No Assistance: You are prohibited from receiving help from anyone or any external resource.
Prohibited Items
- Electronic devices such as mobile phones, tablets, smartwatches, and earphones.
- Books, notes, or any other study material unless explicitly permitted.
Proctor Interaction
- Follow all instructions given by the proctor.
- If contacted for clarification or rule enforcement, respond promptly and cooperatively.
- Inform the proctor immediately in case of technical issues.
Post-Exam Procedures
Submission
- Ensure your exam responses are submitted within the designated time.
- Do not close the exam window or disconnect until you receive confirmation that your submission is successful.
Feedback
- Report any technical issues or concerns to the designated support team immediately aƜer the exam.
Violations and Consequences
Examples of Violations
- Using unauthorized materials or devices.
- Attempting to impersonate another candidate.
- Engaging in suspicious behavior (e.g., frequent movement, talking).
- Disconnecting intentionally without justification.
Consequences
- Warnings for minor infractions.
- Disqualification of the exam attempt for major violations.
