We welcome transfers at any time during the certification cycle.
From improved management systems to enhanced public perception and distinct competitive advantages, certification may provide a positive return on investment for the organisation.
It provides acceptable evidence to prosecutors or courts that the organisation has taken reasonable steps to prevent bribery and corruption.
It is an internationally accepted standard that specifies the procedures by which an organisation should implement in preventing bribery while detecting and reporting any bribery incident that occurs. The standard certifies that an organisation has implemented reasonable and proportionate measures to prevent bribery. These measures involve top-level leadership, training, bribery risk assessment, due diligence adequacy, financial and commercial controls, reporting, audit, and investigation.
It is a widely accepted standard that provides guidance for establishing, developing, implementing, evaluating, maintaining and improving an organisation’s compliance management program. It covers virtually all compliance-related issues including anti-bribery, anti-corruption, antitrust, fraud, misconduct, export control, anti-money laundering and many others. The standard acts as a global benchmark for an effective and responsive compliance management program, with a foundation that is based on the principles of good governance and transparency.
This standard provides principles, framework and a process for managing risk, as it covers most business activities, including research, planning, management and communications. This can help the organisation increase the likelihood of achieving objectives, improve the identification of opportunities and threats and effectively allocate and use resources for risk treatment.
ABAC Center of Excellence is fully accredited as a Conformity Assessment Body (Certification Body) to assist your organisation in attaining ISO 37001 certification through a thorough bribery risk assessment and audit covering the entire scope of the standard. The audit methodology is evidence-based, meaning any issues raised will be confirmed through adequate evidence that the ABAC Certification team has discovered during the audit.
Auditing techniques take a risk-based approach to examining your organisation’s Anti-Bribery Management System (ABMS), and the ABAC Certification team will increase the scale of the investigation if they determine that a specific process presents on a higher risk side. Factors such as Impact, Negligence, Minor, Major, and Critical are taken into consideration during the audit.
A separate audit method is a process-based approach where ABAC Certification examines the organisation’s processes while considering the interaction between those processes. Finally, there is a sampling-based audit approach where ABAC Certification incorporates an appropriate sampling plan utilising samples from different ABMS processes to conclude and support the audit findings and results.
The audit is extremely thorough in its approach, which results in an accredited certification for the scope of the ISO 37001 Anti-Bribery Management System.
The certification audit is comprised of 10 key steps:
1. AUDIT CONFIRMATION
A formal agreement is signed between ABAC Certification & Client, which contains all information regarding the terms and conditions, and technically audit man-days along with the activities to be performed.
2. PRE-ASSESSMENT AUDIT (OPTIONAL)
Gap assessment is conducted on the mutually agreed dates between Client and ABAC Certification. Gap Assessment is performed with the same independence and objectivity as a certification audit. The auditor(s) will conduct activities such as documentation review, process review, interview of process owners etc, in order to gather the necessary information that evidence compliance. The Audit finding will be categorised as Critical and Non-critical. The audit report will help the Client to prepare for Stage 1 and Stage 2 Audits and speed up the Certification process. During the Gap Assessment, Client will also understand the audit process and interact with Auditor who will increase the Client’s knowledge and confidence in the audit process.
3. STAGE 1 AUDIT
After closing the gaps identified during Gap Assessment, Client will coordinate with ABAC Certification to conduct Stage 1 Audit. It is recommended to conduct the Stage 1 Audit within 15 days of Gap Assessment. The Audit Plan will be shared as per mutually agreed dates and will detail audit scope, objectives, criteria, audit team information, timing and other required information. The scope of the audit will be verified during the Stage 1 Audit. Stage 1 Audit will examine Client’s ABMS (anti-bribery management system’s) readiness for ISO 37001:2016 Certification audit. During Stage 1 audit, the documentation of the ABMS will be reviewed. Stage 1 audit findings will be categorised as Critical and Non-critical observations. Critical observations will need to be addressed before scheduling the Stage 2 audit (within 3 months of Stage 1 Audit)
4. STAGE 2 AUDIT (ISO 37001 CERTIFICATION AUDIT)
Upon completion of Stage 1 Audit, depending on the type of Audit findings raised during Stage 1 Audit, Client will be required to do either of the following:
• For Critical Observations raised during the Stage 1 audit, Client will be required to close the Critical observations before scheduling Stage 2 Audit.
• In the event of only Non-critical observations raised, Client can schedule the Stage 2 Audit immediately and coordinate with ABAC Certification to proceed for Stage 2 Audit.
Stage 2 Audit is to examine the implementation of the ABMS system for going towards ISO 37001:2016 Certification. During the Stage 2 Audit, the documented information, evidence for implementation of ABMS will be examined by different auditing techniques which will include but not be limited to interviews, sampling, record reviews. Stage 2 audit findings will be categorised as Minor Non-conformity (Minor NC), Major Non-conformity (Major NC) and Observations. If Major NC is raised, then on-site Follow-up visit will be required, as mentioned in the Additional timeline. The CAP (Corrective Action Plan) will be reviewed by Lead Auditor.
5. FOLLOW-UP AUDIT (ONLY APPLICABLE IF MAJOR NC ARE RAISED)
During the Follow-up Audit, the verification of Corrective Actions for Major Non-conformities will be done. The Followup Audit is conducted on-site.
6. RECOMMENDATION FOR CERTIFICATION
When the Client confirms the closure of Audit findings along with the CAP to ABAC Certification Audit team, the Lead Auditor will review the CAP and give recommendation for Certification.
7. CERTIFICATION DECISION
The Certification Committee will review the Audit pack submitted by the Lead Auditor and after evaluation of the audit process, techniques, findings, CAP and closure of CAP/findings, then Certification decision will be made.
8. AWARD OF CERTIFICATE
Upon issuance of Certification decision of the Certification Committee, the Certificate issuance process initiated, the license number is allocated, and the Accredited Certificate is handed to the Client. The Certificate is issued for the validity of 3 years subject to successful Surveillance Audits.
9. SURVEILLANCE AUDITS (IN CASE OF NO MAJOR NC)
As per the accreditation requirements, after granting the Certificate, Surveillance Audits need to be conducted by ABAC Certification Audit team on the annual basis to ensure that Client is still complying with the conditions of the Certificate and ISO 37001:2016 standard requirement. Surveillance Audit activity is similar to Stage 2 Audit and exams the implementation of ABMS. Audit findings will be categorised as Minor Non-conformity (minor NC), Major Non-conformity (major NC) and Observations.
If Major NC is raised, then on-site Follow-up visit will be required. The Certificate is issued for the validity of three years subject to successful Surveillance Audits.
10. RE-CERTIFICATION AUDIT START OF THE NEW AUDIT CYCLE (STEP 3)
After the completion of 2 Surveillance Audits, in the third year, if the Client will wish to extend the Certificate, they will submit an application for Re-Certification. Following the submission of the application, the Re-Certification Audit will be scheduled and conducted. Re-Certification Audit will be a combination of Stage 1 and Stage 2 Audits. Audit findings will be categorised as Minor NC, Major NC and Observations. The Audit cycle will be set to Step 3 again and is repeated for the new Certification cycle. The issued Certificate will be valid for 3 years subject to.
Download the complete Certification process including the estimated timeframe below.
The certification audit approach is based on following criteria:
Evidence Based Findings
All audit findings will be raised based on objective evidence. The Auditor will gather sufficient evidence to support the audit finding.
Risk Based Approach
The audit plan will be determined by high risk areas and functionalities.
Sample Based Approach
The organisation’s audit scope and sites will be covered with respect to the certification procedures and IAF published guidelines for multi-site audit and sampling. Sample size will be sufficient to effectively verify the system.
Process Based Approach
The Auditor will adhere to ISO 19011 guidelines and establish an audit trail of the organisation’s processes and interactions as well as risks associated with them.
The extent of the entire certification process is generally based on six key procedures, and the level at which these procedures are implemented by the organisation:
The certification process can take up to eight weeks to complete, dependent on the number of locations visited.
The process:
We do not provide consulting services, as that could present a potential conflict of interest during the certification process.
Certification can only be attained through an accredited auditor who is trained to the standard and adheres to strict competency requirements for certification bodies. An Accredited Auditor:
CRI Group is accredited by EIAC (Emirates International Accreditation Center) and UKAS (United Kingdom Accreditation Service).
We welcome transfers at any time during the certification cycle.
While certification naturally leads to increased transparency and improved corporate governance, it also has many intrinsic benefits: