Here are some items that could be included in an audit checklist for ISO 37001 Anti-bribery management systems:
1. Governance and Leadership · Has the organization established an anti-bribery policy that is appropriate for its size, complexity, and the nature of its operations? · Has top management committed to implementing an anti-bribery management system and communicated this to all relevant personnel? · Has the organization appointed a senior manager who is responsible for overseeing the anti-bribery management system? 2. Risk Assessment · Has the organization identified the bribery risks it faces? · Has the organization assessed the likelihood and potential impact of those risks? · Has the organization determined the appropriate controls to address the identified risks? 3. Anti-Bribery Controls · Has the organization implemented appropriate controls to prevent and detect bribery, such as due diligence on business associates, gift and entertainment policies, and whistleblowing procedures? · Has the organization communicated its anti-bribery policies and procedures to all relevant personnel, including third-party business associates? · Has the organization provided anti-bribery training to all relevant personnel, including senior management, employees, and third-party business associates? 4. Monitoring and Review · Has the organization established processes to monitor and review the effectiveness of its anti-bribery management system? · Has the organization conducted regular reviews of its anti-bribery policies and procedures to ensure they remain relevant and effective? · Has the organization established appropriate performance indicators to monitor and evaluate the effectiveness of its anti-bribery management system? 5. Reporting and Investigation · Has the organization established a procedure for reporting and investigating bribery allegations? · Has the organization taken appropriate corrective and preventive actions to address any bribery incidents or non-conformities identified during the audit process? · Has the organization reviewed and analyzed the results of previous audits and implemented any necessary improvements?
Note that this is not an exhaustive list and may vary depending on the organization's size, complexity, and the nature of its operations. An audit checklist should be tailored to the specific needs and risks of the organization. It's recommended to work with an experienced auditor or consultant to ensure a comprehensive and effective audit.
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