Curriculum
- 2 Sections
- 36 Lessons
- Lifetime
- ISO 3700111
- 1.1Introduction to ISO 37001 and Anti-Bribery Management Systems
- 1.2Terms, Definitions, and Key Concepts in ISO 37001
- 1.3Context of the Organization (Clause 4)
- 1.4Leadership and Commitment (Clause 5)
- 1.5Planning (Clause 6)
- 1.6Support (Clause 7)
- 1.7Operation (Clause 8) – Operational Planning and Control
- 1.8Operation (Clause 8) – Reporting, Investigation, and Dealing with Bribery
- 1.9Performance Evaluation (Clause 9)
- 1.10Improvement (Clause 10)
- 1.11Integration of ISO 37001 with Other Management Systems
- ISO 19011: Guidelines for auditing management systems26
- 2.1Introduction to ISO19011
- 2.2Principles of Auditing
- 2.3Managing an Audit Program
- 2.4Establishing Audit Program Objectives
- 2.5Determining Audit Program Risks and Opportunities
- 2.6Establishing the Audit Program
- 2.7Implementing the Audit Program
- 2.8Monitoring the Audit Program
- 2.9Reviewing and Improving the Audit Program
- 2.10Initiating the Audit
- 2.11Determining Audit Feasibility
- 2.12Preparing Audit Activities
- 2.13Reviewing Documented Information
- 2.14Preparing the Audit Plan
- 2.15Assigning Work to the Audit Team
- 2.16Preparing Working Documents
- 2.17Opening Meeting
- 2.18Communication During the Audit
- 2.19Collecting and Verifying Information
- 2.20Generating Audit Findings
- 2.21Preparing Audit Conclusions
- 2.22Closing Meeting
- 2.23Preparing the Audit Report
- 2.24Completing the Audit
- 2.25Follow-Up Activities
- 2.26ISO 37001 Exam120 Minutes40 Questions
Planning (Clause 6)
Introduction to Planning in ISO 37001
Clause 6 focuses on planning actions to address risks and opportunities related to the Anti-Bribery Management System (ABMS). It introduces a structured approach to identifying, analyzing, and managing bribery risks while ensuring the system achieves its intended outcomes.
Planning is essential to ensure that anti-bribery controls are proactive rather than reactive.
A central requirement of Clause 6 is conducting a bribery risk assessment. Organizations must:
- Identify bribery risks
- Analyze their likelihood and impact
- Evaluate and prioritize risks
Risk assessments should consider factors such as:
- Country of operation
- Industry sector
- Nature of transactions
- Business relationships
- Regulatory environment
The process must be documented and performed at planned intervals or when significant changes occur.
ISO 37001 adopts a risk-based approach, meaning that controls should be proportionate to the level of risk. Higher risks require more stringent controls, while lower risks may require simpler measures.
This approach ensures efficient use of resources and avoids unnecessary complexity.
Addressing Risks and Opportunities
Organizations must plan actions to:
- Prevent or reduce bribery risks
- Ensure the ABMS achieves its intended outcomes
- Enhance desirable effects
- Prevent or reduce undesired effects
- Achieve continual improvement
These actions must be integrated into the ABMS processes and evaluated for effectiveness.
Anti-Bribery Objectives
Clause 6 requires organizations to establish measurable anti-bribery objectives. These objectives must:
- Be consistent with the anti-bribery policy
- Be measurable (where practical)
- Consider applicable requirements
- Be monitored and updated
Examples of objectives may include:
- Reducing incidents of non-compliance
- Increasing training completion rates
- Enhancing due diligence processes
Planning to Achieve Objectives
Organizations must develop plans to achieve their objectives, including:
- What actions will be taken
- What resources are required
- Who is responsible
- When actions will be completed
- How results will be evaluated
This structured planning ensures accountability and clarity
Clause 6 also addresses planning for changes. Organizations must ensure that any changes affecting the ABMS are:
- Planned systematically
- Assessed for potential risks
- Implemented in a controlled manner
Uncontrolled changes can introduce new risks and compromise system effectiveness.
The planning process, including risk assessments and objectives, must be documented and maintained. Documentation provides evidence of compliance and supports transparency.
Clause 6 ensures that the ABMS is built on a solid foundation of risk awareness and strategic planning. It enables organizations to:
- Anticipate and mitigate bribery risks
- Align anti-bribery efforts with organizational goals
- Improve decision-making
Effective planning is essential for a proactive and resilient anti-bribery management system.