ISO 37001 Anti-Bribery Management System Lead Implementer

Module 1: Introduction to Anti-Bribery Management

• Understanding bribery
• Direct and indirect bribery
• Forms of bribery
• Organisational exposure
• Bribery prevention
• Anti-bribery management principles

Module 2: Understanding ISO 37001

• Purpose of ISO 37001
• Scope and application
• Key terminology
• Management system approach
• Organisational application
• Implementation considerations

Module 3: Understanding the ABMS Framework

• Management system structure
• Context
• Leadership
• Planning
• Operations
• Performance and improvement

Module 4: Planning the ABMS Implementation

• Implementation objectives
• Current-state assessment
• Implementation scope
• Project activities
• Responsibilities
• Implementation roadmap

Module 5: Organisational Context

• Internal issues
• External issues
• Business environment
• Organisational activities
• Strategic considerations
• Context analysis

Module 6: Interested Parties and Requirements

• Interested parties
• Stakeholder expectations
• Business associates
• Employee considerations
• Relevant requirements
• Changing expectations

Module 7: Defining the ABMS Scope

• Organisational boundaries
• Business activities
• Locations
• Functions
• Business relationships
• Scope documentation

Module 8: Leadership and Commitment

• Governing body responsibilities
• Top management responsibilities
• Leadership commitment
• Resource allocation
• Accountability
• Anti-bribery culture

Module 9: Developing the Anti-Bribery Policy

• Policy objectives
• Prohibition of bribery
• Organisational commitments
• Policy approval
• Policy communication
• Policy review

Module 10: Anti-Bribery Compliance Function

• Compliance responsibilities
• Appropriate authority
• Independence
• Access to leadership
• Oversight responsibilities
• Compliance reporting

Module 11: Roles, Responsibilities and Authorities

• Governance structure
• Responsibility allocation
• Process ownership
• Decision authority
• Accountability
• Internal communication

Module 12: Bribery Risk Assessment Framework

• Risk assessment methodology
• Risk criteria
• Risk ownership
• Risk documentation
• Assessment frequency
• Review arrangements

Module 13: Identifying Bribery Risks

• Internal risks
• External risks
• Transaction risks
• Geographic risks
• Business associate risks
• Activity-related risks

Module 14: Analysing and Evaluating Bribery Risks

• Likelihood
• Consequences
• Existing controls
• Risk ratings
• Risk prioritisation
• Residual risk

Module 15: Bribery Risk Treatment

• Treatment strategies
• Control selection
• Treatment responsibilities
• Action planning
• Risk acceptance
• Treatment monitoring

Module 16: Due Diligence Framework

• Due diligence objectives
• Risk-based approach
• Due diligence criteria
• Information requirements
• Review responsibilities
• Documentation

Module 17: Due Diligence on Business Associates

• Supplier assessment
• Contractor assessment
• Intermediaries
• Joint business relationships
• Risk indicators
• Ongoing monitoring

Module 18: Personnel Due Diligence and Controls

• Recruitment considerations
• High-risk positions
• Employee responsibilities
• Performance incentives
• Conflict considerations
• Personnel monitoring

Module 19: Implementing Financial Controls

• Payment authorisation
• Transaction approvals
• Expense controls
• Financial records
• Segregation of duties
• Financial oversight

Module 20: Implementing Non-Financial Controls

• Procurement controls
• Supplier management
• Contract controls
• Operational approvals
• Tender processes
• Control responsibilities

Module 21: Gifts, Hospitality, Donations and Benefits

• Gifts
• Hospitality
• Donations
• Sponsorships
• Promotional expenses
• Approval and recording processes

Module 22: Managing Business Associates

• Anti-bribery expectations
• Contractual considerations
• Control requirements
• Communication
• Monitoring
• Managing identified concerns

Module 23: Reporting and Speak-Up Mechanisms

• Reporting channels
• Confidential reporting
• Raising concerns
• Escalation
• Protection from retaliation
• Reporting records

Module 24: Investigation and Response

• Investigation procedures
• Investigation responsibilities
• Evidence management
• Confidentiality
• Reporting outcomes
• Response actions

Module 25: Competence, Training and Awareness

• Competence requirements
• Training needs
• Employee awareness
• Role-specific training
• Business associate awareness
• Training effectiveness

Module 26: Documented Information

• ABMS documentation
• Policies and procedures
• Records
• Document control
• Version management
• Information retention

Module 27: Monitoring and Performance Evaluation

• Performance indicators
• Compliance monitoring
• Control effectiveness
• Data analysis
• Reporting results
• Identifying improvement opportunities

Module 28: Internal Audit and Management Review

• Internal audit programme
• Audit planning
• Evaluating implementation
• Management review inputs
• Management review outputs
• Leadership oversight

Module 29: Nonconformity and Corrective Action

• Identifying nonconformities
• Immediate correction
• Root cause analysis
• Corrective action planning
• Effectiveness verification
• Preventing recurrence

Module 30: Continual Improvement of the ABMS

• Improvement opportunities
• Lessons learned
• Risk reassessment
• Strengthening controls
• Improving system effectiveness
• Sustaining anti-bribery culture