This document discusses procedures for investigating and dealing with bribery according to ISO 37001. It outlines that organizations must implement procedures to: assess and investigate any suspected bribery or anti-bribery policy violations; take appropriate action if investigations reveal violations; empower investigators; require cooperation from relevant personnel; report investigation results; and keep investigations confidential. It also provides guidance on initially assessing allegations, planning investigations, investigation risks, stopping ongoing violations, top management responsibilities, investigation reports, and management decisions.

1. Investigating and
dealing with bribery
ISO 37001
Clause 8.10

2. 2
ISO 37001 – Clause 8.10
Investigating and dealing with bribery
 A management responsibility
 Important for credibility of the ABMS and top
management
 Framework for ordering and managing investigation

3. 3
ISO 37001 – Clause 8.10
The organization shall implement procedures that:
a) Require assessment and, where appropriate, investigation of any bribery,
or violation of the anti-bribery policy or the anti-bribery management
system, which is reported, detected or reasonably suspected;
b) Require appropriate action in the event that the investigation reveals any
bribery, or violation of the anti-bribery policy or the anti-bribery
management system;
c) Empower and enable investigators;
d) Require co-operation in the investigation by relevant personnel;
e) Require that the status and results of the investigation are reported to the
anti-bribery compliance function and other compliance functions, as
appropriate;
f) Require that the investigation is carried out confidentially and that the
outputs of the investigation are confidential.

4. 4
Initial assessment of allegations
All complaint should be taken seriously
 Gather all pertinent information
 Assess credibility of the source
Hearsay vs first hand observations
Level of details
Corroboration of evidence
 Support of counsel (in-house or external)
 If in doubt: order an investigation

5. 5
Who should get the complaint
 Preferably the anti-bribery compliance function;
 If reported to other person, the internal procedure should
require immediate transmission of the alleged violation to
the anti-bribery compliance function;
 Procedure should establish who is responsible of the
initial assessment;
 If a major violation is reported, anti-bribery compliance
function should bring the situation to top management to
assess best response.

6. 6
Benefits of a professionally conducted
investigation
 Determine and understand the facts and the potential
legal impact;
 Assess the efficiency of its management systems and
controls;
 Prevent further violations;
 Demonstrate strong leadership;
 Minimize disruptive impact on business and employee
morale;
 Promote the anti-bribery culture in the organization

7. 7
Failure to investigate credible allegations
Failure to investigate credible evidence of violation
 Undermine credibility of the ABMS;
 May expose senior management to allegations of cover-
up and wrongdoing;
 Suspension or loss of certification and resulting negative
press;
 Criminal charges or civil liability.

8. 8
Planning the internal investigation
 Conducted by personnel who are not part of the role or
function being investigated;
 Counsel (internal or external) should be part of the
investigative team;
 Investigators must be properly empowered;
 Expertise and experience in bribery investigations.

9. 9
Risks of bribery investigations
 Legal implications (Major corruption scheme);
 Difficulty of establishing the scope of the corruption
scheme;
 Fishing expedition;
 Time, money and unwanted negative press exposure.

10. 10
Urgency to stop an ongoing violation
 Clear innocent employees as soon as possible;
 Take corrective actions sooner than later;
 Minimize negative impact on employee morale;
 Minimize negative impact on operations;
 Demonstrate strong leadership;
 Reinforce credibility of the ABMS.

11. 11
Top management responsibilities
 Top management must be informed by the anti-bribery
compliance function of the progress;
 Follow-up by top management is not an intrusion in the
investigation;
 Make certain that clause 8.9 of the standard is applied
(source protection, no retaliation);
 Communication plan.

12. 12
Content of the investigation report
 Nature of the alleged bribery violation;
 Summary of the facts gathered during the investigation;
 Chronology of events;
 People interviewed and documents reviewed;
 Organization’s procedures and guidelines that apply;
 Possible breakdown in internal controls;
 Conclusion reached on key issues;
 No specific recommendations.

13. 13
Management decisions
 Terminate, withdraw from or modify the organization’s
involvement in a project, transaction or contract;
 Repay or reclaim any improper benefit obtained;
 Discipline responsible personnel;
 Report the matter to the authorities;
 Review ABMS policy and procedures.

14. 14
Questions