Description

The ISO 37001:2016 Anti-Bribery Management Systems (ABMS) Lead Auditor Training Course is designed to equip participants with the knowledge and skills necessary to conduct effective audits of ABMS based on the ISO 37001:2016 standard. This comprehensive training enables participants to become competent lead auditors and contribute to the prevention and detection of bribery within organizations. Here are the key features and components of the ISO 37001:2016 ABMS Lead Auditor Training Course:

 

Understanding ISO 37001:2016: Participants will gain a deep understanding of the ISO 37001:2016 standard, its requirements, and its significance in combating bribery and promoting anti-corruption practices. They will learn about the framework, principles, and key concepts of the standard.

 

Audit Principles and Techniques: The course covers the fundamental principles and techniques of auditing, including planning, conducting, and reporting on ABMS audits. Participants will learn how to apply audit methodologies, evaluate evidence, and assess compliance with ISO 37001:2016 requirements.

 

Audit Roles and Responsibilities: Participants will understand the roles and responsibilities of a lead auditor in the context of ABMS audits. They will learn how to effectively lead an audit team, assign tasks, and ensure the smooth execution of the audit process.

 

Audit Planning and Preparation: The course emphasizes the importance of thorough audit planning and preparation. Participants will learn how to develop an audit plan, define audit objectives and scope, and establish criteria for evaluating the effectiveness of the ABMS.

 

Conducting Audit Activities: Participants will acquire the skills to conduct on-site audit activities, including interviewing personnel, examining documents and records, and gathering evidence. They will learn effective communication techniques and strategies for managing audit interviews and interactions.

 

Audit Findings and Reporting: The course focuses on the identification and documentation of audit findings. Participants will learn how to assess non-conformities, develop accurate and concise audit reports, and communicate findings to relevant stakeholders.

 

Corrective Actions and Follow-up: Participants will gain insights into the process of identifying and implementing corrective actions based on audit findings. They will learn how to verify the effectiveness of corrective actions and conduct follow-up activities to ensure continual improvement.

 

Audit Ethics and Professionalism: The course emphasizes the importance of ethical conduct and professionalism in auditing. Participants will understand the principles of auditor independence, confidentiality, and objectivity, ensuring the integrity of the audit process.

 

Audit Program Management: Participants will learn how to effectively manage an audit program within the context of ABMS. They will understand the requirements for establishing and maintaining an audit program, including scheduling audits, resource allocation, and performance evaluation.

 

Case Studies and Practical Exercises: The training includes practical exercises and case studies to apply the concepts and techniques learned throughout the course. Participants will have the opportunity to engage in simulated audit scenarios and develop their auditing skills.

 

By completing the ISO 37001:2016 ABMS Lead Auditor Training Course, participants will have the necessary knowledge and skills to plan, conduct, report, and follow up on ABMS audits. They will be prepared to contribute to the prevention of bribery, the promotion of ethical practices, and the continual improvement of anti-bribery measures within organizations.

 

Anti-Bribery Management System (ABMS) Principals

 

The ISO 37001:2016 standard is based on a set of principles that guide the establishment and implementation of an effective Anti-Bribery Management System (ABMS). These principles form the foundation for preventing and combating bribery within organizations. The key principles of ISO 37001:2016 are as follows:

 

Anti-Bribery Policy: Organizations should establish an anti-bribery policy that reflects their commitment to preventing bribery and promoting ethical conduct. The policy should provide a clear statement of objectives, expectations, and guidelines for all employees and relevant stakeholders.

 

Leadership Commitment: Top management must demonstrate strong leadership and commitment to the ABMS. They should establish a culture of integrity, promote anti-bribery practices, and allocate appropriate resources to implement and maintain the ABMS effectively.

 

Risk Assessment: Organizations should conduct a systematic assessment of bribery risks they face. This includes identifying potential bribery threats, evaluating the likelihood and potential impact of those risks, and taking necessary measures to mitigate them effectively.

 

Due Diligence: Organizations should implement due diligence procedures to identify and assess the bribery risks associated with their employees, agents, business partners, and other relevant parties. Due diligence helps ensure that individuals and entities involved with the organization adhere to anti-bribery standards.

 

Financial and Commercial Controls: Organizations should establish and maintain financial and commercial controls to prevent bribery. This includes implementing proper accounting systems, accurate financial reporting, and measures to detect and deter fraudulent activities.

 

Training and Awareness: Organizations should provide regular training and awareness programs to ensure that employees and relevant stakeholders understand the risks associated with bribery and the organization's anti-bribery policies and procedures. Training helps promote a culture of integrity and ethical behavior.

 

Reporting, Investigation, and Whistleblowing: Organizations should establish mechanisms for reporting and investigating bribery concerns. This includes providing channels for employees and stakeholders to report suspected bribery incidents confidentially and without fear of retaliation. Whistleblowing policies should be in place to protect those who report in good faith.

 

Corrective Actions and Continuous Improvement: Organizations should take appropriate corrective actions when incidents of bribery are identified. They should also establish processes for monitoring and reviewing the ABMS to ensure its ongoing effectiveness and identify areas for improvement.

 

Documentation and Records: Organizations should maintain documentation and records related to their ABMS, including policies, procedures, risk assessments, training records, and audit reports. Documentation provides evidence of compliance with ISO 37001:2016 requirements and facilitates transparency and accountability.

 

Internal and External Communication: Organizations should establish effective communication channels to promote awareness of the ABMS and anti-bribery practices. This includes communicating the organization's commitment to preventing bribery to employees, stakeholders, and the public.

 

By adhering to these principles, organizations can establish robust Anti-Bribery Management Systems that are aligned with ISO 37001:2016. These principles provide guidance for preventing bribery, managing risks, and fostering a culture of integrity within organizations.

 

How will I benefit?

By implementing ISO 37001:2016, you can benefit in several ways:

 

Enhanced Compliance: ISO 37001:2016 provides a comprehensive framework for establishing an Anti-Bribery Management System (ABMS). By implementing the standard, you can ensure compliance with anti-bribery laws, regulations, and international best practices. This helps protect your organization from legal and reputational risks associated with bribery.

 

Improved Risk Management: ISO 37001:2016 emphasizes the identification and assessment of bribery risks. By implementing the standard, you can effectively identify, evaluate, and mitigate bribery risks within your organization. This helps minimize the likelihood of bribery incidents and their potential impact.

 

Stronger Anti-Bribery Culture: Implementing ISO 37001:2016 fosters a culture of integrity and ethical behavior within your organization. It raises awareness among employees about the risks and consequences of bribery, promoting a zero-tolerance approach to corruption. This helps build trust among stakeholders and enhances your reputation.

 

Enhanced Business Opportunities: ISO 37001:2016 certification demonstrates your commitment to ethical business practices. It can give you a competitive advantage by differentiating your organization from competitors, especially in sectors where bribery is a significant concern. Certification can open doors to new business opportunities, partnerships, and contracts.

 

Increased Stakeholder Confidence: ISO 37001:2016 certification provides reassurance to stakeholders, including customers, partners, investors, and regulatory authorities. It demonstrates your dedication to preventing bribery, protecting their interests, and upholding high ethical standards. This fosters trust and confidence in your organization.

 

Improved Internal Controls: Implementing ISO 37001:2016 requires the establishment of robust internal controls to prevent bribery. This includes implementing financial controls, due diligence procedures, and effective reporting mechanisms. These controls help minimize the risk of bribery incidents and strengthen your overall governance structure.

 

Cost Savings: By implementing ISO 37001:2016 and effectively preventing bribery, you can avoid potential legal penalties, fines, and other financial losses associated with bribery incidents. This can result in significant cost savings for your organization in the long run.

 

Reputation Management: ISO 37001:2016 helps protect and enhance your organization's reputation. By actively preventing bribery and promoting ethical behavior, you demonstrate your commitment to integrity and responsible business practices. This can positively impact your relationships with customers, partners, and the public.

 

Employee Engagement and Morale: Implementing ISO 37001:2016 signals your commitment to a safe, fair, and ethical working environment. This can enhance employee engagement, morale, and job satisfaction. Employees feel proud to be part of an organization that values integrity and actively works against bribery.

 

Continuous Improvement: ISO 37001:2016 emphasizes the importance of continual improvement in anti-bribery practices. By implementing the standard, you establish processes for monitoring, measuring, and enhancing your ABMS over time. This ensures that your anti-bribery efforts remain effective and adaptable to evolving risks and requirements.

 

Overall, implementing ISO 37001:2016 brings numerous benefits, including improved compliance, risk management, reputation, stakeholder confidence, and cost savings. It helps you establish a strong anti-bribery culture and positions your organization as a responsible and ethical business entity.

 

Who should the attend lead auditor course of Anti-Bribery Management System (ABMS)?

 

The lead auditor course of the Anti-Bribery Management System (ABMS) is recommended for professionals who wish to become competent lead auditors in this field. The following individuals should consider attending the lead auditor course:

 

Auditors and Compliance Professionals: Auditors with experience in conducting audits and professionals involved in compliance management can benefit from the lead auditor course. It equips them with the necessary skills to lead ABMS audits effectively and assess compliance with anti-bribery standards.

 

Risk and Governance Professionals: Professionals engaged in risk management, corporate governance, and ethics functions can attend the lead auditor course to enhance their expertise in ABMS audits. They can contribute to preventing bribery by assessing risks, evaluating controls, and leading audits.

 

Legal and Compliance Officers: Legal and compliance officers responsible for ensuring adherence to anti-bribery laws and regulations should attend the lead auditor course. It provides them with a comprehensive understanding of ABMS requirements and enables them to lead audits to assess compliance.

 

Quality Management Professionals: Professionals involved in quality management can attend the lead auditor course to expand their knowledge in the area of ABMS. They can leverage their existing skills to become lead auditors and contribute to the effective implementation of anti-bribery measures.

 

Consultants and Advisors: Consultants and advisors specializing in anti-bribery practices can benefit from the lead auditor course. It enhances their expertise and enables them to provide valuable guidance to organizations seeking to implement ABMS and achieve compliance with anti-bribery standards.

 

Internal Audit Team Members: Members of internal audit teams who want to enhance their auditing skills and specialize in ABMS audits can attend the lead auditor course. It equips them with the necessary knowledge and techniques to plan, conduct, and report on ABMS audits effectively.

 

Individuals Seeking Career Advancement: Professionals seeking career advancement in the field of anti-bribery management and auditing can attend the lead auditor course. It provides them with a recognized qualification and enhances their marketability as lead auditors in the ABMS domain.

 

Attending the lead auditor course of the Anti-Bribery Management System (ABMS) is beneficial for individuals who aspire to lead ABMS audits, assess compliance with anti-bribery standards, and contribute to the prevention and detection of bribery within organizations. It equips them with the necessary skills, knowledge, and credentials to excel in this specialized field.

 

What will be learn the lead auditors training course of Anti-Bribery Management System (ABMS)?

 

The lead auditors training course for Anti-Bribery Management System (ABMS) provides participants with comprehensive knowledge and skills to effectively lead ABMS audits and assess compliance with anti-bribery standards. Here are some key areas covered in the training course:

 

Understanding Anti-Bribery Management Systems: Participants will gain a thorough understanding of ABMS concepts, principles, and requirements. They will learn about the purpose and benefits of ABMS, the role of auditors, and the importance of preventing and detecting bribery.

 

Applicable Anti-Bribery Laws and Regulations: Participants will become familiar with relevant national and international anti-bribery laws and regulations. They will learn about the legal framework surrounding bribery prevention and understand how it impacts ABMS audits.

 

ABMS Audit Principles and Methodologies: The training course will cover the fundamental principles and methodologies of ABMS audits. Participants will learn how to plan, conduct, and report on ABMS audits using recognized audit techniques and best practices.

 

Audit Planning and Preparation: Participants will acquire skills in developing comprehensive audit plans and conducting effective audit preparations. They will learn how to define audit objectives, scope, and criteria, and establish a systematic approach to ensure a successful audit process.

 

Conducting the Audit: Participants will learn how to conduct on-site audits, including interviewing personnel, reviewing documents, and collecting evidence. They will develop techniques to identify bribery risks, evaluate controls, and assess compliance with ABMS requirements.

 

Audit Findings and Reporting: The training will focus on identifying and documenting audit findings accurately and objectively. Participants will learn how to assess non-conformities, communicate findings, and prepare clear and concise audit reports.

 

Corrective Actions and Follow-up: Participants will understand the importance of effective corrective actions and follow-up processes. They will learn how to evaluate the adequacy of corrective actions, monitor their implementation, and verify their effectiveness in mitigating bribery risks.

 

Ethical Conduct and Professionalism: The training course emphasizes the ethical conduct and professionalism expected from lead auditors. Participants will learn about the ethical responsibilities, independence, and confidentiality requirements in conducting ABMS audits.

 

Audit Program Management: Participants will gain insights into managing ABMS audit programs within organizations. They will learn how to establish and maintain audit schedules, allocate resources, and monitor the performance of the audit program.

 

Case Studies and Practical Exercises: The training incorporates practical exercises and case studies to provide participants with hands-on experience in applying the concepts and techniques learned. They will engage in simulated audit scenarios to enhance their auditing skills.

 

By completing the lead auditors training course for Anti-Bribery Management System (ABMS), participants will be equipped with the necessary knowledge, skills, and confidence to lead ABMS audits effectively. They will contribute to preventing bribery, promoting ethical practices, and ensuring compliance with anti-bribery standards within organizations.

 

Principles of Anti-Bribery Management System (ABMS)?

 

The principles of an Anti-Bribery Management System (ABMS) guide the establishment and implementation of effective measures to prevent and address bribery within an organization. These principles provide a framework for promoting integrity, transparency, and ethical conduct. Here are the key principles of an ABMS:

 

Leadership and Commitment: The organization's leadership plays a crucial role in promoting a culture of integrity and demonstrating commitment to combating bribery. They establish anti-bribery policies, allocate necessary resources, and lead by example, fostering a strong ethical tone throughout the organization.

 

Risk Assessment: ABMS is based on a risk-based approach, where organizations identify and assess bribery risks they face. A comprehensive risk assessment helps identify vulnerabilities, evaluate the likelihood and potential impact of bribery incidents, and prioritize resources for risk mitigation.

Appropriate Policies and Procedures: Organizations should establish clear and robust anti-bribery policies and procedures. These documents outline expectations, guidelines, and controls for preventing and addressing bribery, ensuring that employees and stakeholders understand their roles and responsibilities.

Due Diligence: ABMS emphasizes conducting due diligence on individuals and entities associated with the organization. This includes employees, business partners, suppliers, and other relevant parties. Due diligence measures help assess the integrity and anti-bribery commitment of these entities, mitigating the risk of engaging with unreliable or corrupt counterparts.

Training and Awareness: Organizations provide regular training and awareness programs to ensure employees understand the risks and consequences of bribery. Training covers topics such as recognizing and reporting bribery, understanding applicable laws and regulations, and promoting a culture of ethics and compliance.

Communication and Reporting: Effective communication channels are established to promote reporting of suspected bribery incidents or concerns. Employees and stakeholders should feel comfortable reporting without fear of retaliation. The organization maintains confidentiality and protects whistleblowers who report in good faith.

Internal Controls and Compliance: ABMS requires the implementation of internal controls to prevent bribery. This includes establishing financial and commercial controls, conducting periodic audits, and implementing measures to detect, investigate, and address any non-compliance or misconduct related to bribery.

Continuous Improvement: Organizations strive for continuous improvement in their ABMS. Regular monitoring, evaluation, and review processes are implemented to identify areas for enhancement and address emerging bribery risks. Lessons learned from incidents and audit findings inform the organization's efforts to strengthen its anti-bribery measures.

Legal and Regulatory Compliance: ABMS aligns with applicable anti-bribery laws and regulations. Organizations must ensure their practices and procedures are in compliance with these legal requirements, taking into account the jurisdiction(s) in which they operate.

 

Ethical Culture and Stakeholder Engagement: ABMS fosters an ethical culture within the organization, emphasizing the importance of ethical conduct and stakeholder engagement. By maintaining open and transparent relationships with stakeholders, organizations can mitigate bribery risks and build trust.

 

By adhering to these principles, organizations can establish an effective Anti-Bribery Management System (ABMS) that promotes integrity, prevents bribery, and fosters a culture of ethical behavior and compliance.

Audit Fundamentals:

 

The audit fundamentals of an Anti-Bribery Management System (ABMS) involve a systematic and objective assessment of the organization's anti-bribery practices and their effectiveness. Here are the key audit fundamentals of ABMS:

 

Audit Planning: The auditor begins by planning the ABMS audit, which includes defining the audit objectives, scope, and criteria. The audit plan outlines the activities, resources, and timelines for conducting the audit and ensures comprehensive coverage of the ABMS.

 

Audit Entry Meeting: The auditor holds an entry meeting with key stakeholders to discuss the audit objectives, scope, and methodology. This meeting establishes clear communication channels, confirms roles and responsibilities, and addresses any initial questions or concerns.

 

Document Review: The auditor conducts a thorough review of relevant documents, including the ABMS policies, procedures, risk assessments, control measures, training records, and audit reports. This helps assess the organization's compliance with anti-bribery requirements and identifies areas for further examination.

 

Risk Assessment and Control Evaluation: The auditor evaluates the organization's risk assessment process to determine its effectiveness in identifying bribery risks. They assess the adequacy of control measures in place to mitigate these risks, considering factors such as policies, due diligence, financial controls, and reporting mechanisms.

 

On-Site Audit Activities: The auditor conducts on-site activities, such as interviews, observations, and sampling of evidence, to assess the implementation and effectiveness of the ABMS. They interview employees at different levels to gather insights into the organization's anti-bribery practices and evaluate their understanding of ABMS requirements.

 

Non-Conformity Identification: During the audit, the auditor identifies any non-conformities or instances of non-compliance with ABMS requirements. These may include gaps in policies, inadequate control measures, lack of training, or weaknesses in reporting mechanisms. Non-conformities are documented for further analysis and corrective action.

 

Audit Reporting: The auditor prepares a comprehensive audit report that includes findings, observations, and recommendations based on the audit results. The report highlights areas of strength and improvement opportunities in the organization's ABMS. It provides a clear and objective assessment of the organization's anti-bribery practices.

 

Corrective Actions and Follow-up: The auditor assesses the organization's corrective actions to address identified non-conformities. They review the effectiveness of these actions and ensure that they adequately mitigate bribery risks. Follow-up audits may be conducted to verify the implementation and effectiveness of corrective actions.

 

Audit Closure and Exit Meeting: The auditor holds an exit meeting with key stakeholders to present the audit findings, discuss recommendations, and address any questions or concerns. The meeting facilitates understanding, promotes dialogue, and ensures alignment between the auditor and the audited organization.

 

Continuous Improvement: The auditor encourages the organization to use the audit findings and recommendations to drive continuous improvement in their ABMS. They may provide guidance on best practices, industry benchmarks, and emerging trends to support the organization's ongoing efforts to enhance anti-bribery practices.

 

By following these audit fundamentals, auditors can assess the effectiveness of an organization's Anti-Bribery Management System (ABMS), identify areas for improvement, and provide recommendations to prevent and address bribery risks.

 

Prerequisites 

You should have a good knowledge of ISO 37001:2016 and the key principles of an ABMS. If not, we strongly recommend you attend our ISO 37001:2016 Requirements course. It will also help if you have attended an internal or lead auditor course or have experience with conducting internal or supplier audits.

 

Training Duration: 40 hours/5 Days

Methods of Training: online/offline

 

*****It's important to note that while attending the lead auditor course does not require prior auditing experience, a basic understanding of Anti-Bribery Management Systems (ABMS) principles and the ISO 37001:2016 standard is beneficial. The course offers a valuable learning experience for individuals at different stages of their careers, from beginners to experienced professionals****

Courses Video