News on the standard ISO 37001 version 2016 - Anti-bribery management systems - Requirements with guidance for use

13/10/2023

ISO 37001 version 2016 is the first version (edition) of this standard for anti-bribery management systems, requirements and implementation recommendations.

Choosing to apply an anti-bribery management system makes it possible to:

• prevent and detect corruption
• fight against corruption
• comply with anti-bribery laws

Requirements of the standard ISO 37001 version 2016

Quiz of ISO 37001 requirements version 2016

The training course T 25v16 ISO 37001 readiness version 2016 and its free demo without registration

The training course T 55v16 ISO 37001 internal audit version 2016 and its free demo without registration

The training package T 75v16 ISO 37001 readiness and internal audit

1. The clauses are 10 ACCORDING TO the High LEVEL STRUCTURE :

1. Scope
2. Normative references
3. Terms and definitions
4. Context
5. Leadership
6. Planning
7. Support
8. Operation
9. Performance
10. Improvement

• Annex A (informative) Guidance on the use of this document

2. REQUIRED PROCEDURES

• procedures (documented): 
  • employment (§ 7.2.2)
  • disciplinary action (§ 7.2.2)
  • personnel (§ 7.2.2.2)
  • training (§ 7.3)
  • documentation (§ 7.5)
  • due diligence (§ 8.2)
  • organizations and associates (§ 8.5, 8.6)
  • gifts and similar (§ 8.7)
  • reporting (§ 8.9)
  • investigation and treatment (§ 8.10)
  • internal audit (§ 9.2.3)

3. records

• records: 
  • scope (§ 4.3)
  • bribery risk assessment (§ 4.5.4)
  • anti-bribery policy (§ 5.2)
  • anti-bribery objectives (§ 6.2)
  • compétence (§ 7.2.1)
  • training (§ 7.3)
  • opretaional control (§ 8.1)
  • evaluation (§ 9.1)
  • internal audit (§ 9.2.2)
  • management review (§ 9.3.1)
  • governing body review (§ 9.3.2)
  • nonconformities and corrective actions (§ 10.1)

4. Required processes

• processes:  
  • delegate decision-making (§ 5.3.3)
  • manage operational requirements (§ 8.1)
  • conduct internal audits (§ 9.2.1)

 5. required policy

• policy: 
  • anti-bribery (§ 5.2)

6. The verb shall is used 202 times 

7. DETAILS OF clauses and sub-clauses (PARAGRAPHS)

1 Scope

2 Normative references

3 Terms and definitions

4 Context of the organization

4.1 Understanding the organization and its context

4.2 Understanding the needs and expectations of stakeholders

4.3 Determining the scope of the anti-bribery management system

4.4 Anti-bribery management system

4.5 Bribery risk assessment

5 Leadership

5.1 Leadership and commitment

5.1.1 Governing body

5.1.2 Top management

5.2 Anti-bribery policy

5.3 Organizational roles, responsibilities and authorities

5.3.1 Roles and responsibilities

5.3.2 Anti-bribery compliance function

5.3.3 Delegated decision-making

6 Planning

6.1 Actions to address risks and opportunities

6.2 Anti-bribery objetives and planning to achieve them

7 Support

7.1 Resources

7.2 Competence

7.2.1 General

7.2.2 Employment process

7.3 Awareness and training

7.4 Communication

7.5 Documented information

7.5.1 General

7.5.2 Creating and updating

7.5.3 Control of documented information

8 Operation

8.1 Operational planning and control

8.2 Due diligence

8.3 Financial controls

8.4 Non-financial controls

8.5 Implementation of anti-bribery controls by controlled organizations and by business associates

8.6 Anti-bribery commitments

8.7 Gifts, hospitality, donations and similar benefits

8.8 Managing inadequacy of anti-bribery controls

8.9 Raisingg concerns

8.10 Investigating and dealing with bribery

9 Performance evaluation

9.1 Monitoring, measurement, analysis and evaluation

9.2 Internal audit

9.3 Management review

9.3.1 Top management review

9.3.2 Governing body review

9.4 Review by anti-bribery compliance function

10 Improvement

10.1 Nonconformity and corrective action

10.2 Continual improvement

Annex A (Informative) Guidance on the use of this document