kSIST ISO/PRF 37001:2024

Anti-bribery management systems - Requirements with guidance for use

ISO 37001:2016 specifies 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. ISO 37001:2016 addresses the following in relation to the organization's activities:
· bribery in the public, private and not-for-profit sectors;
· bribery by the organization;
· bribery by the organization's personnel acting on the organization's behalf or for its benefit;
· bribery by the organization's business associates acting on the organization's behalf or for its benefit;
· bribery of the organization;
· bribery of the organization's personnel in relation to the organization's activities;
· bribery of the organization's business associates in relation to the organization's activities;
· direct and indirect bribery (e.g. a bribe offered or accepted through or by a third party).
ISO 37001:2016 is applicable only to bribery. It sets out requirements and provides guidance for a management system designed to help an organization to prevent, detect and respond to bribery and comply with anti-bribery laws and voluntary commitments applicable to its activities.
ISO 37001:2016 does not specifically address fraud, cartels and other anti-trust/competition offences, money-laundering or other activities related to corrupt practices, although an organization can choose to extend the scope of the management system to include such activities.
The requirements of ISO 37001:2016 are generic and are intended to be applicable to all organizations (or parts of an organization), regardless of type, size and nature of activity, and whether in the public, private or not-for-profit sectors. The extent of application of these requirements depends on the factors specified in 4.1, 4.2 and 4.5.

Systèmes de management anti-corruption — Exigences et recommandations de mise en oeuvre

L'ISO 37001:2016 définit des exigences et fournit des préconisations pour l'établissement, la mise en ?uvre, la tenue à jour, la revue et l'amélioration d'un système de management anti-corruption. Le système peut être autonome ou intégré à un système de management global. L'ISO 37001:2016 couvre les aspects suivants en ce qui concerne les activités de l'organisme:
- corruption dans les secteurs public, privé et à but non lucratif;
- corruption par l'organisme;
- corruption par le personnel de l'organisme agissant pour le compte de l'organisme ou dans son intérêt;
- corruption par les partenaires commerciaux de l'organisme agissant pour le compte de l'organisme ou dans son intérêt;
- corruption de l'organisme;
- corruption du personnel de l'organisme dans le cadre des activités de l'organisme;
- corruption des partenaires commerciaux de l'organisme dans le cadre des activités de l'organisme;
- corruption directe et indirecte (par exemple, un pot-de-vin offert ou accepté par une tierce partie).
L'ISO 37001:2016 est applicable à la corruption uniquement. Il définit des exigences et fournit des préconisations pour les systèmes de management conçus pour aider les organismes à prévenir, détecter et lutter contre la corruption, et à respecter les lois anti-corruption et leurs engagements volontaires applicables à leurs activités.
L'ISO 37001:2016 n'aborde pas spécifiquement la fraude, les ententes et autres délits anti-trust/de concurrence, le blanchiment d'argent ou autres activités liées à des man?uvres frauduleuses, même si l'organisme peut choisir d'étendre le périmètre du système de management afin d'inclure de telles activités.
Les exigences du présent document sont génériques et destinées à s'appliquer à tous les organismes (ou parties d'organisme), indépendamment du type, de la taille et de la nature de l'activité, qu'ils évoluent dans le secteur public, privé ou à but non lucratif. L'étendue de l'application de ces exigences dépend des facteurs décrits en 4.1, 4.2 et 4.5.

Sistemi vodenja za preprečevanje korupcije - Zahteve z napotki za uporabo

General Information

• Status: Not Published
• Public Enquiry End Date: 28-Apr-2024
• ICS: 03.100.01 - Company organization and management in general
• ICS: 03.100.02 - Governance and ethics
• ICS: 03.100.70 - Management systems
• Technical Committee: VZK - Quality management and quality assurance
• Current Stage: 5020 - Formal vote (FV) (Adopted Project)
• Start Date: 21-Aug-2024
• Due Date: 09-Oct-2024
• Ref Project: ISO/PRF 37001 - Anti-bribery management systems — Requirements with guidance for use

Relations

• Revises: SIST ISO 37001:2016 - Anti-bribery management systems - Requirements with guidance for use
• Effective Date: 01-Apr-2024

Standards Content (Sample)

SLOVENSKI STANDARD
oSIST ISO/DIS 37001:2024
01-april-2024
Sistemi vodenja za preprečevanje korupcije - Zahteve z napotki za uporabo
Anti-bribery management systems - Requirements with guidance for use
Systèmes de management anti-corruption — Exigences et recommandations de mise en
oeuvre
Ta slovenski standard je istoveten z: ISO/DIS 37001
ICS:
03.100.02 Upravljanje in etika Governance and ethics
03.100.70 Sistemi vodenja Management systems
oSIST ISO/DIS 37001:2024 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

oSIST ISO/DIS 37001:2024
oSIST ISO/DIS 37001:2024
DRAFT
International
Standard
ISO/DIS 37001
ISO/TC 309
Anti-bribery management
Secretariat: BSI
systems — Requirements with
Voting begins on:
guidance for use
2024-02-05
Systèmes de management anti-corruption — Exigences et
Voting terminates on:
recommandations de mise en oeuvre
2024-04-29
ICS: 03.100.02; 03.100.01; 03.100.70
THIS DOCUMENT IS A DRAFT CIRCULATED
FOR COMMENTS AND APPROVAL. IT
IS THEREFORE SUBJECT TO CHANGE
AND MAY NOT BE REFERRED TO AS AN
INTERNATIONAL STANDARD UNTIL
PUBLISHED AS SUCH.
IN ADDITION TO THEIR EVALUATION AS
BEING ACCEPTABLE FOR INDUSTRIAL,
TECHNOLOGICAL, COMMERCIAL AND
USER PURPOSES, DRAFT INTERNATIONAL
STANDARDS MAY ON OCCASION HAVE TO
This document is circulated as received from the committee secretariat.
BE CONSIDERED IN THE LIGHT OF THEIR
POTENTIAL TO BECOME STANDARDS TO
WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS.
RECIPIENTS OF THIS DRAFT ARE INVITED
TO SUBMIT, WITH THEIR COMMENTS,
NOTIFICATION OF ANY RELEVANT PATENT
RIGHTS OF WHICH THEY ARE AWARE AND TO
PROVIDE SUPPORTING DOCUMENTATION.
Reference number
ISO/DIS 37001:2024(en)
oSIST ISO/DIS 37001:2024
ISO/DIS 37001:2024(en)
DRAFT INTERNATIONAL STANDARD
ISO/DIS 37001
ISO/TC 309 Secretariat: BSI
Voting begins on: Voting terminates on:
Anti-bribery management systems — Requirements with
guidance for use
Systèmes de management anti-corruption — Exigences et recommandations de mise en oeuvre
ICS: 03.100.02; 03.100.01; 03.100.70
© ISO 2024
THIS DOCUMENT IS A DRAFT CIRCULATED
FOR COMMENT AND APPROVAL. IT IS
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
THEREFORE SUBJECT TO CHANGE AND MAY
This document is circulated as received from the committee secretariat.
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
NOT BE REFERRED TO AS AN INTERNATIONAL
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
STANDARD UNTIL PUBLISHED AS SUCH.
or ISO’s member body in the country of the requester.
IN ADDITION TO THEIR EVALUATION AS
ISO copyright office BEING ACCEPTABLE FOR INDUSTRIAL,
TECHNOLOGICAL, COMMERCIAL AND
CP 401 • Ch. de Blandonnet 8
USER PURPOSES, DRAFT INTERNATIONAL
CH-1214 Vernier, Geneva
STANDARDS MAY ON OCCASION HAVE TO
Phone: [phone]
BE CONSIDERED IN THE LIGHT OF THEIR
Email: [e-mail] POTENTIAL TO BECOME STANDARDS TO
WHICH REFERENCE MAY BE MADE IN
Website: www.iso.org
Reference number ISO/
NATIONAL REGULATIONS.
Published in Switzerland DIS 37001:2024(E)
RECIPIENTS OF THIS DRAFT ARE INVITED

TO SUBMIT, WITH THEIR COMMENTS,
NOTIFICATION OF ANY RELEVANT PATENT
RIGHTS OF WHICH THEY ARE AWARE AND TO
PROVIDE SUPPORTING DOCUMENTATION. © ISO 2024
ii
oSIST ISO/DIS 37001:2024
ISO/DIS 37001:2024(E)
Contents
Foreword .v
Introduction .vi
1  Scope . 1
2  Normative references . 1
3  Terms and definitions . 1
4  Context of the organization . 7
4.1  Understanding the organization and its context . 7
4.2  Understanding the needs and expectations of interested parties . 7
4.3  Determining the scope of the anti‐bribery management system . 7
4.4  Anti‐bribery management system . 8
4.5  Bribery risk assessment . 8
5  Leadership . 9
5.1  Leadership and commitment . 9
5.1.1  Governing body . 9
5.1.2  Top management . 9
5.2  Anti‐bribery policy . 10
5.3  Roles, responsibilities and authorities . 11
5.3.1  General . 11
5.3.2  Anti‐bribery function . 11
5.3.3  Delegated decision‐making . 11
6  Planning . 12
6.1  Actions to address risks and opportunities . 12
6.2  Anti‐bribery objectives and planning to achieve them . 12
6.3  Planning of changes . 13
7  Support . 13
7.1  Resources . 13
7.2  Competence . 13
7.2.1  General . 13
7.2.2  Employment process . 13
7.3  Awareness and training . 14
7.4  Communication . 16
7.5  Documented information . 16
7.5.1  General . 16
7.5.2  Creating and updating documented information . 16
7.5.3  Control of documented information . 17
8  Operation . 17
8.1  Operational planning and control . 17
8.2  Due diligence . 17
8.3  Financial controls . 18
8.4  Non‐financial controls . 18
8.5  Implementation of anti‐bribery controls by controlled organizations and by
business associates . 18
8.6  Anti‐bribery commitments . 19
8.7  Gifts, hospitality, donations and similar benefits . 19
8.8  Managing inadequacy of anti‐bribery controls . 19
8.9  Raising concerns . 20
8.10  Investigating and dealing with bribery . 20
9  Performance evaluation . 21
9.1  Monitoring, measurement, analysis and evaluation . 21
9.2  Internal audit . 21
9.3  Management review . 23
9.3.1  General . 23
9.3.2  Management review inputs . 23
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oSIST ISO/DIS 37001:2024
ISO/DIS 37001:2024(E)
9.3.3  Management review results . 23
9.4  Review by anti‐bribery function . 23
10  Improvement . 24
10.1  Continual improvement . 24
10.2  Nonconformity and corrective action . 24
Annex A (informative) Guidance on the use of this document . 25
A.1  General . 25
A.2  Scope of the anti‐bribery management system . 25
A.2.1  Stand‐alone or integrated anti‐bribery management system . 25
A.2.2 Facilitation and extortion payments . 25
A.3  Anti‐bribery management system . 26
A.4  Bribery risk assessment . 27
A.5  Roles and responsibilities of governing body and top management . 29
A.6  Anti‐bribery function . 30
A.7  Resources . 31
A.8  Employment procedures . 32
A.8.1 Due diligence on personnel . 32
A.8.2 Performance bonuses .
...