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TÜV Rheinland Asia Pacific
June 10, 2021
ISO 37001 : Anti Bribery
Management System
Fraud & Bribery Concepts, Laws
& Regulations and other requirements
6/10/2021 ISO 37001 Webinar
2
 Fraud and Bribery Concepts
 Laws and Regulation
 Common Bribery Modus
 Real Bribery Case Study
Agenda
Did You Know
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63%
respondents in Asia-Pacific think
that bribery or corrupt practices
happen widely in their country. The
trend is increasing since 2013
Source: EY Global Frau 32%
respondents in Indonesia said
that they have made a bribe at
least once
Source: Global Corruption Barometer 2017
Fraud and Bribery Concepts
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F r a u d
Is an intention to gain something by proposed where
the action is out law or crime potents
Who is doing Fraud
Occupational Fraud Classification System
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Bribery is….
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Offering, promising, giving, accepting or
soliciting of an undue advantage of any value
(which could be financial or non financial),
directly or indirectly, and irrespective of
location(s), in violation of applicable law, as an
inducement or reward for a person acting or
refraining from acting in relation to the
performance of that person’s duties.
ISO 37001ABMS
Law in Indonesia
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No. Law No. Title
1 UU No. 11 year 1980 Crime of Bribery
2 UU No. 28 year 1999
State administration that is clean and free of
corruption, collusion and nepotism
3 UU No 31 year 1999 Corruption Eradication
4 UU No. 8 year 2010 Money laundering crime
5 UU No 20 year 2001
Amendments to law no. 31 of 1999
concerning the Crime of Corruption
Law in Philippines
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 Bribery of public officials is penalized under Articles 210 to 212 of the Revised
Penal Code.
 Republic Act No. 3019 (The Anti-Graft and Corrupt Practices Act) is the main
anti-corruption law.
 Republic Act 6713 (The Code of Conduct and Ethical Standards for Public
Officials and Employees)
 Presidential Decree No. 46 (Giving of Gifts on any Occasion)
 Republic Act 7080 (Plunder) penalizes a public officer who acquires ill-gotten
wealth in the total of at least PHP 50 million through overt or criminal acts.
Foreign Law & Policy
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• United Nations Convention against Corruption (UNCAC)
• United States Foreugn Corrupt Practice Act of 1997 (US
FCPA).
• United Kingdom Bribery Act 2010 (“UK BA”).
Direct Vs Indirect Bribery
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Bribery use of third party/indirect Bribery
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This is the most
common and widely
used bribery
scheme
Remember !!! Modus operandi
• through family members, friends,
close relatives of the bribe
recipient
• through a hired consultant
• Using subsidiaries to hire third
parties to channel bribes
• using multiple agents
• using slush funds or offshore
companies
Common Bribery Modus
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►Lavish entertainment expense with no justification (also applied to
donation, sponsorship, and consultant)
►Use of third party/agent with no business rationale
►Unusual payment made to private/individual account
►Payment of per diem to external party
►Extravagant gifts
►Lack of explanation and detail supporting document toward a cash
payment transaction
Bribery in the media
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Example of Real Bribery Cases: Immigration Officer at airport
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Example of Real Bribery Cases: Permit for Hotel Development
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Hospitality Or Sponsored Travel
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Donation for the Government Official
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ISO 37001:2016
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 Bribery is a phenomenon that gives rise to serious concern in social, moral,
economic, and politics, undermine good governance, reduce development and
distort competition.
 Organizations have a proactive responsibility to contribute against bribery.
 Law enforcement alone is not enough to solve bribery problem.
 This can be achieved through an Anti Bribery Management System, and
through leadership commitment to setting culture honesty, transparency,
openness and compliance.
 ISO/PC 278 has published ISO 37001:2016 on 14th October, 2016.
 This standard can help organizations implement reasonable and proportionate
designs to prevent, detect and respond to bribery
Scope of ISO 37001
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ISO 37001 is requirements and provide guidance for establish, implement, maintain,
review and improve the anti-bribery management system.
 applies only to bribery issues.
 this standard is generic
 Can be integrated with other management systems for public, private or not-for-profit sector.
Please be remember !!!
!!! Compliance with this standard does not guarantee bribery will not happen.
!!! Bribery risk is impossible to completely eliminated.
Certification ISO 37001- Objective
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To help organizations prevent, detect and deal with bribery and comply with
laws and regulations related to anti-bribery and voluntary commitments that
are consistent with activities within the management system
Certification Process and Time Line
ISO 37001 Webinar
Pre Audit
(Optional)
Upon Client Request
1st and 2nd Stage of
Certification Audit
± 6 Months (max.)
Certificate Issuance
3 months (max)
1st and 2nd Surveillance
Audit
2nd and 3rd Year
Recertification Audit
4th Year
Description
Document Review
Onsite Audit
Finding
Correction &
Corrective Action
Reporting
Description
Onsite Audit
Evaluation of MS
Finding
Correction &
Corrective Action
Reporting
Description
Certificate valid
for 3 years subject
to annual
surveillance audit
Description
Onsite Audit
Evaluation of MS
Finding
Correction &
Corrective Action
Reporting
Description
Recertification audit
is one time only
Certificate Issuance
1st Surveillance
2nd Surveillance
6/10/2021
21
Anti-bribery management system
ISO 37001:2016
ISO 37001
Standard
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ISO 37001 integration with further management systems
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 The measures required by ISO 37001 are designed to be integrated with existing management
processes and controls.
 It follows the common high-level structure for ISO management system standards, for easy
integration with, for example, ISO 14001.
 New or enhanced measures can be integrated into existing systems
P-D-C-A
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Term and Definition
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3.1 bribery
offering, promising, giving, accepting or soliciting of an undue advantage of any value (which could be
financial or non-financial), directly or indirectly, and irrespective of location(s), in violation of applicable law, as
an inducement or reward for a person acting or refraining from acting in relation to the performance of that
person’s duties
3.7 governing body
group or body that has the ultimate responsibility and authority for an organization’s activities, governance
and policies and to which top management reports and by which top management is held accountable
3.8 anti-bribery compliance function
person(s) with responsibility and authority for the operation of the anti-bribery management system
In total 30 terms – some of them are common terms with core definitions
Specific terms for the standard:
Term and Definition
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3.26 business associate
external party with whom the organization has, or plans to establish, some form of business
relationship
Note 1 to entry: Business associate includes but is not limited to clients, customers, joint ventures, joint venture partners,
consortium partners, outsourcing providers, contractors, consultants, sub-contractors, suppliers, vendors, advisors, agents,
distributors, representatives, intermediaries and investors
3.29 conflict of interest
situation where business, financial, family, political or personal interests could interfere with the judgment of
persons in carrying out their duties for the organization.
3.30 due diligence
process to further assess the nature and extent of the bribery risk and help organizations make decisions in
relation to specific transactions, projects, activities, business associates and personnel
4. Context of the organization
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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
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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, accountabilities and authorities
5.3.1 Roles and responsibilities
5.3.2 Anti-bribery compliance function
5.3.3 Delegated decision-making
5. Leadership
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Top management shall establish, maintain and review an anti-bribery policy that:
a) prohibits bribery;
b) requires compliance with anti-bribery laws that are applicable to the organization;
c) is appropriate to the purpose of the organization;
d) provides a framework for setting, reviewing and achieving anti-bribery objectives;
e) includes a commitment to satisfy anti-bribery management system requirements;
f) encourages raising concerns in good faith, or on the basis of a reasonable belief in confidence,
without fear of reprisal;
g) includes a commitment to continual improvement of the anti-bribery management system;
h) explains the authority and independence of the anti-bribery compliance function;
i) explains the consequences of not complying with the anti-bribery policy
5.2 Anti-bribery policy
6. Planning
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6.1 Actions to address risks and opportunities
When planning for the anti-bribery management system, the organization shall consider the issues referred
to in 4.1, the requirements referred to in 4.2, the risks identified in 4.5, and opportunities for improvement
6.2 Anti-bribery objectives and planning to achieve them
The organization shall establish anti-bribery management system objectives at relevant functions and
levels
7. Support
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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
7. Support
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In relation to all of its personnel, the organization shall implement procedures such that:
- require personnel to comply with the anti-bribery policy and ABMS
- personnel receive a copy of, or are provided with access to, the anti-bribery policy and training
- enable it to take appropriate disciplinary action against personnel who violate the anti-bribery policy or
ABMS
- personnel will not suffer retaliation, discrimination or disciplinary action
1) refusing any activity with bribery risk; or
2) concerns raised or reports made in good faith
In relation to all positions which are exposed to more than a low bribery risk the organization shall
implement procedures such that:
- due diligence is conducted on persons before they are employed or transferred
- performance bonuses, performance targets and other incentivizing elements of remuneration are
reviewed periodically
confirming their compliance with the anti-bribery policy.
7.2.2 Employment process
8. Operation
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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 Raising concerns
8.10 Investigating and dealing with bribery
8. Operation
6/10/2021 ISO 37001 Webinar
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Where the organization’s bribery risk assessment, as conducted in 4.5, has assessed a more
than low bribery risk in relation to:
a) specific categories of transactions, projects or activities,
b) planned or on-going relationships with specific categories of business associates, or
c) specific categories of personnel in certain positions (see 7.2.2.2),
the organization shall assess the nature and extent of the bribery risk in relation to specific
transactions, projects, activities, business associates and personnel falling within those categories.
This assessment shall include any due diligence necessary to obtain sufficient information
to assess the bribery risk. The due diligence shall be updated at a defined frequency, so that
changes and new information can be properly taken into account
8.2 Due diligence
9. Performance evaluation
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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
9. Performance evaluation
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The anti-bribery compliance function shall assess on a continual basis whether the anti-bribery
management system is:
a) adequate to manage effectively the bribery risks faced by the organization;
b) being effectively implemented.
c) The anti-bribery compliance function shall report at planned intervals, and on an ad hoc basis,
as appropriate, to the governing body (if any) and top management on the adequacy and
implementation of ABMS, including the results of investigations and audits
9.4 Review by anti-bribery compliance function
10. Improvement
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10.1 Nonconformity and corrective action
10.2 Continual improvement
Annex A (informative) Guidance
ISO 37001 requirements for documented information
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4.3 Determining the scope of the anti-bribery management system
4.5 Bribery risk assessment
5.2 Anti-bribery policy
6.2 Anti-bribery objectives and planning to achieve them
7.2.1 Competence, General (records)
7.2.2 Competence, Employment process (records – declaration)
7.3 Awareness and training
8.1 Operational planning and control Explicitly
(8.2 Due diligence, 8.6 Anti-bribery commitments, 8.7 Gifts, hospitality, donations and similar benefits)
9.1 Monitoring, measurement, analysis and evaluation (records)
9.2 Internal audit (records)
9.3.1 Top management review (records)
9.3.2 Governing body review (records)
10.1 Nonconformity and corrective action (records)
Thank you for attending this webinar
TÜV Rheinland Asia
Ms. Dian Susanty Soeminta
General Manager – Systems
dian.soeminta@tuv.com
Let’s get connected and follow our channels!
Insights.tuv.com
@tuvcom_asia
TÜV Rheinland
Ms. Rahmawati Noor
Senior Manager (QM & HSE)
rahmawati.noor@tuv.com
Ms. Nelly Yong
Vice President (Systems), APAC
Nelly.Yong@tuv.com

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ISO 37001 : Anti Bribery Management System Fraud & Bribery Concepts, Laws & Regulations and other requirements

  • 1. TÜV Rheinland Asia Pacific June 10, 2021 ISO 37001 : Anti Bribery Management System Fraud & Bribery Concepts, Laws & Regulations and other requirements
  • 2. 6/10/2021 ISO 37001 Webinar 2  Fraud and Bribery Concepts  Laws and Regulation  Common Bribery Modus  Real Bribery Case Study Agenda
  • 3. Did You Know 6/10/2021 ISO 37001 Webinar 3 63% respondents in Asia-Pacific think that bribery or corrupt practices happen widely in their country. The trend is increasing since 2013 Source: EY Global Frau 32% respondents in Indonesia said that they have made a bribe at least once Source: Global Corruption Barometer 2017
  • 4. Fraud and Bribery Concepts 6/10/2021 ISO 37001 Webinar 4 F r a u d Is an intention to gain something by proposed where the action is out law or crime potents Who is doing Fraud
  • 5. Occupational Fraud Classification System 6/10/2021 ISO 37001 Webinar 5
  • 6. Bribery is…. 6/10/2021 ISO 37001 Webinar 6 Offering, promising, giving, accepting or soliciting of an undue advantage of any value (which could be financial or non financial), directly or indirectly, and irrespective of location(s), in violation of applicable law, as an inducement or reward for a person acting or refraining from acting in relation to the performance of that person’s duties. ISO 37001ABMS
  • 7. Law in Indonesia 6/10/2021 ISO 37001 Webinar 7 No. Law No. Title 1 UU No. 11 year 1980 Crime of Bribery 2 UU No. 28 year 1999 State administration that is clean and free of corruption, collusion and nepotism 3 UU No 31 year 1999 Corruption Eradication 4 UU No. 8 year 2010 Money laundering crime 5 UU No 20 year 2001 Amendments to law no. 31 of 1999 concerning the Crime of Corruption
  • 8. Law in Philippines 6/10/2021 ISO 37001 Webinar 8  Bribery of public officials is penalized under Articles 210 to 212 of the Revised Penal Code.  Republic Act No. 3019 (The Anti-Graft and Corrupt Practices Act) is the main anti-corruption law.  Republic Act 6713 (The Code of Conduct and Ethical Standards for Public Officials and Employees)  Presidential Decree No. 46 (Giving of Gifts on any Occasion)  Republic Act 7080 (Plunder) penalizes a public officer who acquires ill-gotten wealth in the total of at least PHP 50 million through overt or criminal acts.
  • 9. Foreign Law & Policy 6/10/2021 ISO 37001 Webinar 9 • United Nations Convention against Corruption (UNCAC) • United States Foreugn Corrupt Practice Act of 1997 (US FCPA). • United Kingdom Bribery Act 2010 (“UK BA”).
  • 10. Direct Vs Indirect Bribery 6/10/2021 ISO 37001 Webinar 10
  • 11. Bribery use of third party/indirect Bribery 6/10/2021 ISO 37001 Webinar 11 This is the most common and widely used bribery scheme Remember !!! Modus operandi • through family members, friends, close relatives of the bribe recipient • through a hired consultant • Using subsidiaries to hire third parties to channel bribes • using multiple agents • using slush funds or offshore companies
  • 12. Common Bribery Modus 6/10/2021 ISO 37001 Webinar 12 ►Lavish entertainment expense with no justification (also applied to donation, sponsorship, and consultant) ►Use of third party/agent with no business rationale ►Unusual payment made to private/individual account ►Payment of per diem to external party ►Extravagant gifts ►Lack of explanation and detail supporting document toward a cash payment transaction
  • 13. Bribery in the media 6/10/2021 ISO 37001 Webinar 13
  • 14. Example of Real Bribery Cases: Immigration Officer at airport 6/10/2021 ISO 37001 Webinar 14
  • 15. Example of Real Bribery Cases: Permit for Hotel Development 6/10/2021 ISO 37001 Webinar 15
  • 16. Hospitality Or Sponsored Travel 6/10/2021 ISO 37001 Webinar 16
  • 17. Donation for the Government Official 6/10/2021 ISO 37001 Webinar 17
  • 18. ISO 37001:2016 6/10/2021 ISO 37001 Webinar 18  Bribery is a phenomenon that gives rise to serious concern in social, moral, economic, and politics, undermine good governance, reduce development and distort competition.  Organizations have a proactive responsibility to contribute against bribery.  Law enforcement alone is not enough to solve bribery problem.  This can be achieved through an Anti Bribery Management System, and through leadership commitment to setting culture honesty, transparency, openness and compliance.  ISO/PC 278 has published ISO 37001:2016 on 14th October, 2016.  This standard can help organizations implement reasonable and proportionate designs to prevent, detect and respond to bribery
  • 19. Scope of ISO 37001 6/10/2021 ISO 37001 Webinar 19 ISO 37001 is requirements and provide guidance for establish, implement, maintain, review and improve the anti-bribery management system.  applies only to bribery issues.  this standard is generic  Can be integrated with other management systems for public, private or not-for-profit sector. Please be remember !!! !!! Compliance with this standard does not guarantee bribery will not happen. !!! Bribery risk is impossible to completely eliminated.
  • 20. Certification ISO 37001- Objective 6/10/2021 ISO 37001 Webinar 20 To help organizations prevent, detect and deal with bribery and comply with laws and regulations related to anti-bribery and voluntary commitments that are consistent with activities within the management system
  • 21. Certification Process and Time Line ISO 37001 Webinar Pre Audit (Optional) Upon Client Request 1st and 2nd Stage of Certification Audit ± 6 Months (max.) Certificate Issuance 3 months (max) 1st and 2nd Surveillance Audit 2nd and 3rd Year Recertification Audit 4th Year Description Document Review Onsite Audit Finding Correction & Corrective Action Reporting Description Onsite Audit Evaluation of MS Finding Correction & Corrective Action Reporting Description Certificate valid for 3 years subject to annual surveillance audit Description Onsite Audit Evaluation of MS Finding Correction & Corrective Action Reporting Description Recertification audit is one time only Certificate Issuance 1st Surveillance 2nd Surveillance 6/10/2021 21
  • 24. ISO 37001 integration with further management systems 6/10/2021 ISO 37001 Webinar 24  The measures required by ISO 37001 are designed to be integrated with existing management processes and controls.  It follows the common high-level structure for ISO management system standards, for easy integration with, for example, ISO 14001.  New or enhanced measures can be integrated into existing systems
  • 26. Term and Definition 6/10/2021 ISO 37001 Webinar 26 3.1 bribery offering, promising, giving, accepting or soliciting of an undue advantage of any value (which could be financial or non-financial), directly or indirectly, and irrespective of location(s), in violation of applicable law, as an inducement or reward for a person acting or refraining from acting in relation to the performance of that person’s duties 3.7 governing body group or body that has the ultimate responsibility and authority for an organization’s activities, governance and policies and to which top management reports and by which top management is held accountable 3.8 anti-bribery compliance function person(s) with responsibility and authority for the operation of the anti-bribery management system In total 30 terms – some of them are common terms with core definitions Specific terms for the standard:
  • 27. Term and Definition 6/10/2021 ISO 37001 Webinar 27 3.26 business associate external party with whom the organization has, or plans to establish, some form of business relationship Note 1 to entry: Business associate includes but is not limited to clients, customers, joint ventures, joint venture partners, consortium partners, outsourcing providers, contractors, consultants, sub-contractors, suppliers, vendors, advisors, agents, distributors, representatives, intermediaries and investors 3.29 conflict of interest situation where business, financial, family, political or personal interests could interfere with the judgment of persons in carrying out their duties for the organization. 3.30 due diligence process to further assess the nature and extent of the bribery risk and help organizations make decisions in relation to specific transactions, projects, activities, business associates and personnel
  • 28. 4. Context of the organization 6/10/2021 ISO 37001 Webinar 28 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
  • 29. 5. Leadership 6/10/2021 ISO 37001 Webinar 29 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, accountabilities and authorities 5.3.1 Roles and responsibilities 5.3.2 Anti-bribery compliance function 5.3.3 Delegated decision-making
  • 30. 5. Leadership 6/10/2021 ISO 37001 Webinar 30 Top management shall establish, maintain and review an anti-bribery policy that: a) prohibits bribery; b) requires compliance with anti-bribery laws that are applicable to the organization; c) is appropriate to the purpose of the organization; d) provides a framework for setting, reviewing and achieving anti-bribery objectives; e) includes a commitment to satisfy anti-bribery management system requirements; f) encourages raising concerns in good faith, or on the basis of a reasonable belief in confidence, without fear of reprisal; g) includes a commitment to continual improvement of the anti-bribery management system; h) explains the authority and independence of the anti-bribery compliance function; i) explains the consequences of not complying with the anti-bribery policy 5.2 Anti-bribery policy
  • 31. 6. Planning 6/10/2021 ISO 37001 Webinar 31 6.1 Actions to address risks and opportunities When planning for the anti-bribery management system, the organization shall consider the issues referred to in 4.1, the requirements referred to in 4.2, the risks identified in 4.5, and opportunities for improvement 6.2 Anti-bribery objectives and planning to achieve them The organization shall establish anti-bribery management system objectives at relevant functions and levels
  • 32. 7. Support 6/10/2021 ISO 37001 Webinar 32 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
  • 33. 7. Support 6/10/2021 ISO 37001 Webinar 33 In relation to all of its personnel, the organization shall implement procedures such that: - require personnel to comply with the anti-bribery policy and ABMS - personnel receive a copy of, or are provided with access to, the anti-bribery policy and training - enable it to take appropriate disciplinary action against personnel who violate the anti-bribery policy or ABMS - personnel will not suffer retaliation, discrimination or disciplinary action 1) refusing any activity with bribery risk; or 2) concerns raised or reports made in good faith In relation to all positions which are exposed to more than a low bribery risk the organization shall implement procedures such that: - due diligence is conducted on persons before they are employed or transferred - performance bonuses, performance targets and other incentivizing elements of remuneration are reviewed periodically confirming their compliance with the anti-bribery policy. 7.2.2 Employment process
  • 34. 8. Operation 6/10/2021 ISO 37001 Webinar 34 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 Raising concerns 8.10 Investigating and dealing with bribery
  • 35. 8. Operation 6/10/2021 ISO 37001 Webinar 35 Where the organization’s bribery risk assessment, as conducted in 4.5, has assessed a more than low bribery risk in relation to: a) specific categories of transactions, projects or activities, b) planned or on-going relationships with specific categories of business associates, or c) specific categories of personnel in certain positions (see 7.2.2.2), the organization shall assess the nature and extent of the bribery risk in relation to specific transactions, projects, activities, business associates and personnel falling within those categories. This assessment shall include any due diligence necessary to obtain sufficient information to assess the bribery risk. The due diligence shall be updated at a defined frequency, so that changes and new information can be properly taken into account 8.2 Due diligence
  • 36. 9. Performance evaluation 6/10/2021 ISO 37001 Webinar 36 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
  • 37. 9. Performance evaluation 6/10/2021 ISO 37001 Webinar 37 The anti-bribery compliance function shall assess on a continual basis whether the anti-bribery management system is: a) adequate to manage effectively the bribery risks faced by the organization; b) being effectively implemented. c) The anti-bribery compliance function shall report at planned intervals, and on an ad hoc basis, as appropriate, to the governing body (if any) and top management on the adequacy and implementation of ABMS, including the results of investigations and audits 9.4 Review by anti-bribery compliance function
  • 38. 10. Improvement 6/10/2021 ISO 37001 Webinar 38 10.1 Nonconformity and corrective action 10.2 Continual improvement Annex A (informative) Guidance
  • 39. ISO 37001 requirements for documented information 6/10/2021 ISO 37001 Webinar 39 4.3 Determining the scope of the anti-bribery management system 4.5 Bribery risk assessment 5.2 Anti-bribery policy 6.2 Anti-bribery objectives and planning to achieve them 7.2.1 Competence, General (records) 7.2.2 Competence, Employment process (records – declaration) 7.3 Awareness and training 8.1 Operational planning and control Explicitly (8.2 Due diligence, 8.6 Anti-bribery commitments, 8.7 Gifts, hospitality, donations and similar benefits) 9.1 Monitoring, measurement, analysis and evaluation (records) 9.2 Internal audit (records) 9.3.1 Top management review (records) 9.3.2 Governing body review (records) 10.1 Nonconformity and corrective action (records)
  • 40. Thank you for attending this webinar TÜV Rheinland Asia Ms. Dian Susanty Soeminta General Manager – Systems dian.soeminta@tuv.com Let’s get connected and follow our channels! Insights.tuv.com @tuvcom_asia TÜV Rheinland Ms. Rahmawati Noor Senior Manager (QM & HSE) rahmawati.noor@tuv.com Ms. Nelly Yong Vice President (Systems), APAC Nelly.Yong@tuv.com