Standard
Track updates
AS ISO 37001:2019
[Current]Anti-bribery management systems — Requirements with guidance for use
The objective of this Standard is to specify requirements and provides guidance for establishing, implementing, maintaining, reviewing and improving an anti-bribery management system. The system can be stand-alone or can be integrated into an overall management system.
Published: 04/03/2019
Pages: 47
Table of contents
Cited references
Content history
Table of contents
Header
About this publication
Preface
Foreword
Introduction
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
4.5.1
4.5.2
4.5.3
4.5.4
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 objectives and planning to achieve them
7 Support
7.1 Resources
7.2 Competence
7.2.1 General
7.2.2 Employment process
7.2.2.1
7.2.2.2
7.3 Awareness and training
7.4 Communication
7.4.1
7.4.2
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
8.5.1
8.5.2
8.6 Anti-bribery commitments
8.7 Gifts, hospitality, donations and similar benefits
8.8 Managing inadequacy of anti-bribery controls
8.9 Raising concerns
8.10 Investigating and dealing with bribery
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.2 Internal audit
9.2.1
9.2.2
9.2.3
9.2.4
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
A.1 General
A.2 Scope of the anti-bribery management system
A.2.1 Stand-alone or integrated anti-bribery management system
A.2.2 Facilitation and extortion payments
A.2.2.1
A.2.2.2
A.2.2.3
A.3 Reasonable and proportionate
A.3.1
A.3.2
A.3.3
A.3.4
A.4 Bribery risk assessment
A.4.1
A.4.2
A.4.3
A.4.4
A.5 Roles and responsibilities of governing body and top management
A.5.1
A.5.2
A.6 Anti-bribery compliance function
A.6.1
A.6.2
A.6.3
A.6.4
A.7 Resources
A.8 Employment procedures
A.8.1 Due diligence on personnel
A.8.2 Performance bonuses
A.8.3 Conflicts of interest
A.8.4 Bribery of the organization’s personnel
A.8.4.1
A.8.4.2
A.8.4.3
A.8.4.4
A.8.5 Temporary staff or workers
A.9 Awareness and training
A.9.1
A.9.2
A.9.3
A.9.4
A.9.5
A.9.6
A.9.7
A.9.8
A.10 Due diligence
A.10.1
A.10.2
A.10.3
A.10.4
A.10.5
A.11 Financial controls
A.12 Non-financial controls
A.13 Implementation of the anti-bribery management system by controlled organizations and by business associates
A.13.1 General
A.13.1.1
A.13.1.2
A.13.1.3
A.13.2 Controlled organizations
A.13.2.1
A.13.2.2
A.13.3 Non-controlled business associates
A.13.3.1
A.13.3.2
A.13.3.3
A.13.3.4
A.13.3.5
A.13.3.6
A.13.3.7
A.14 Anti-bribery commitments
A.14.1
A.14.2
A.14.3
A.14.4
A.15 Gifts, hospitality, donations and similar benefits
A.15.1
A.15.2
A.15.3
A.15.4
A.15.5
A.16 Internal audit
A.16.1
A.16.2
A.16.3
A.16.4
A.16.5
A.16.6
A.17 Documented information
A.18 Investigating and dealing with bribery
A.18.1
A.18.2
A.18.3
A.18.4
A.18.5
A.18.6
A.18.7
A.18.8
A.18.9
A.19 Monitoring
A.20 Planning and implementing changes to the anti-bribery management system
A.20.1
A.20.2
A.20.3
A.20.4
A.20.5
A.21 Public officials
A.22 Anti-bribery initiatives
Bibliography
Cited references in this standard
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