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ISO 37001:2016
Anti-Bribery Management Systems -
Benefits of Implementation and Certification
by
Nor’afiza Saim
Senior General Manager
Management System Certification Department
SIRIM QAS International Sdn. Bhd.
Organisation Chart 2017
Effective on 15 March2017
Senior General Manager
Corporate Services Department
Board Of Directors
SIRIM QAS INTERNATIONAL
SDN. BHD.
Managing Director Company
Secretary
Senior General Manager
Management System Certification
Department
Senior General Manager
Testing Services Department
Senior General Manager
Product Certification & Inspection
Department
• Food, Agriculture & Forestry
• Mechanical & Automotive
• Civil & Construction
• Electrical & Electronics
• Chemical & Material
• Services
• Sustainability Certification
• Technical
• Sales & Business Development
•Business & Customer
Support
•Mechanical & Automotive
•Chemical & Consumer
•Radio Frequency &
Electromagnetic
Compatibility
•Electrical & Electronics 1
(EEST1)
•Electrical & Electronics 2
(EEST2)
•Customer Support Services
(Electrical)
•Civil & Construction
• Fire Protection
• Technical & Calibration
•Plastics & Composite
Materials
•Branch Office – Pulau
Pinang
•Branch Office - Sarawak
and Sabah
•Branch Office – Johor
• Industrial, Consumer
Certification & Inspection
•Electrical & Electronics
Certification & Inspection
•Communications &
Multimedia Certification
• Technical
• International Business
•Human Resource &
Administration
•Marketing & Branding
• Finance
•Procurement, Asset & ICT
Management
Managing Director’s
Office
Legal & Corporate
Affairs
Quality, Occupational,
Safety, Health &
Environment
• Food, Agriculture & Forestry
•Mechanical & Automotive
•Civil & Construction
•Electrical & Electronics
•Chemical & Material
•Services
•Sustainability Certification
• Technical
•Sales & Business
Development
Enabling Businesses. Enhancing LivesEnabling Businesses. Enhancing Lives
• SIRIM QAS International
• IIM
• MACA
• ACeiO
• Training Institutions
• Standards Malaysia
• MACC
Regulator Accreditor
Certification & Auditing
Training, Consultation & Advisory
Services
INTERESTED PARTIES AND THEIR ROLES
3
ISO 37001 Certified
Organisations
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WHAT IS ISO 37001:2016?
ISO 37001-ABMS : Series of
measures to help organisation to
Prevent
Detect
Respond
Which include
1. An anti-bribery policy & objectives
2. Appointing a person(s) to oversee anti-
bribery compliance
3. Training
4. Risk assessments & due diligence on
projects & business associates
5. Implementing financial & commercial
controls
6. Instituting reporting & investigation procedures
4
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WHAT IS ISO 37001:2016?
Helps to Reduce
• bribery risks and demonstrate a culture of integrity transparency, openness and compliance.
Conformity to ISO 37001
• cannot provide assurance that no bribery will occur as it is not possible to completely eliminate the risk of bribery.
• helps organizations implement reasonable measures to prevent, detect and respond to bribery.
5
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CORPORATE INTEGRITY SYSTEM MALAYSIA (CISM) &
ISO 37001 REQUIREMENTS
CISM
6
• CODE OF ETHICS & ANTI-BRIBERY POLICY1
• CONFLICT OF INTEREST DETERRENCE POLICY2
• WHISTLEBLOWING POLICY3
• REFERAL POLICY4
• CORRUPTION RISK MANAGEMENT5
• TRAINING ON ETHICS, EDUCATION & COMMUNICATION6
• COMPLIANCE PROGRAMME7
• ANTI-CORRUPTION PREVENTION REPORTING8
• LEADERSHIP9
• CORPORATE SOCIAL RESPONSIBILITY10
An anti-bribery policy, procedures, & controls
Top management leadership, commitment & responsibility
Governing body Oversight
Anti-bribery training and awareness
Risk assessment
Due diligence on projects & business associates
Reporting, monitoring and investigation
Management review, corrective action & continual improvement
6
ISO 37001:2016
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WHO CAN USE ISO 37001:2016 ?
The standard is flexible and can
be adapted to a wide range of
organizations, including:
• Large organizations
• Small & medium sized
enterprises (SMEs)
• Public and private sector
organizations
• Non-governmental
organizations (NGOs)
The standard can be used by
organizations in any country.
ISO 37001
Large Org
SMEs
Public/ Private
NGOs
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Certification Process Flow
Certification
Process
1
2
3
4
5
6
7
8
Enquiry (Questionnaire
& Quotation)
Application
Stage 1 Audit
Response to Findings
Stage 2 AuditIssuance of Certificate
0
Top Management Decision
Recertification Audit 9
Surveillance Audit 1
Surveillance Audit 2
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The Certificate
9
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Certification Mark
10
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Accreditations & Recognitions
11
• SIRIM QAS International’s accreditations by local and international bodies demonstrate its high degree of competency, impartiality and credibility in the area of conformity assessment.
• SIRIM QAS International is a member of IQNet, an international network of certification bodies comprising 35 partner organizations with more than 200 subsidiaries across the globe.
• The certification, inspection and testing services offered by SIRIM QAS International are carried out in accordance with international standards.
• Our accreditations and recognitions facilitate the acceptance of our certifications and test reports locally and abroad.
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Why Obtain Certification?
12
Improve organization’s reputation
Reduce cost of operation
Better financial standing
Improve employee morale
Competitive advantage in national & international markets
Comply to acts/regulations/code of practice related to integrity/corruption
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Essential Elements for Successful ABMS
13
Top Management Commitment 1
Bribery risk assessment2
Anti-bribery culture3
Implementations of effective controls and monitoring 4
Effective internal audits5
Effective investigation and corrective action process6
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STAGE 1 AUDIT
- To review the adequacy of ABMS documents in
addressing requirements of the standard
- Internal Audit & Management Review shall be
carried out prior to Stage 1 Audit
STAGE 2 AUDIT
- To determine if ABMS is satisfactorily implemented
Method : interviewing of personnel, review of
records & observation of activities/operations
- Findings will be reported
Certification Audits – First year
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ABMS is about :
• proactively combating bribery
• building anti-bribery culture
ABMS should decrease the cost of doing
business, ensure transparency in
transactions and increase employee
morale.
CONCLUSION
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Need further information please contact:
Sales & Business Development Section at
03-55446403
En. Loo Soon Khai
skloo.sirim.my
DL: 03-5544 5678
Pn. Emirlia [email protected]
DL: 03-5544 5045
En. Mohd Haziq [email protected]
DL: 03-5544 5026
For more information please visit
www.sirim-qas. com.my
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Have a nice day &
Thank you
SIRIM QAS International Sdn. Bhd.
Building 8, No. 1, Persiaran Dato’ Menteri
Section 2, P.O. Box 7035
40911 Shah Alam
Selangor Darul Ehsan
Tel: 03-55446401