ISO 37001:2016 Documentation Kit for Anti-Bribery Management System

1. ISO 37001 Manual (14 files): A sample copy of manual is provided and each of its chapters is explained in easy to understand language. It meets the requirements for ISO 37001 2016 Certification.
2. ISO 37001 Procedures (7 procedures): A total of seven iso 37001 procedures are provided, each of them covering all the details like purpose, scope, responsibility and how the procedure is followed.
3. Process Approach (10 process approach): It covers activities of all the main and critical processes with input-output matrix for organizations.
4. Policy (1 policy): It covers policy of Anti-bribery and Anti-corruption
5. Exhibits (4 exhibits): The exhibits are prepared by our iso 37001 consultant on Skill Requirements, Multi-skill requirements, Document Identification and Codification System, and Needs and Expectations of stakeholders etc.
6. ISO 37001 Forms and Templates (34 forms): A set of 34 standard forms and sample blank templates to maintain records as well as establish control and make system in the organization.
7. Filled Formats (17 forms): A set of 17 filled forms required to maintain records as well as establish control and create system in the organization.
8. ISO 37001 Audit Checklist (more than 350 questions): A set of over 350 iso 37001 audit questions, which can be customized to make your own iso 37001 checklist for internal audit of your organization.
9. Sample Risk Assessment Sheet (1 excel sheet): The ready-to-use risk template in editable form is given to prepare the risk document for your organization.
10. ISO 37001 compliance matrix (1 excel sheet): The ISO 37001:2016 requirement-wise list of documented information is given in the compliance matrix of this kit for easy reference and to understand how this system is made.

ISO 37001 2016 – Anti-bribery management system standard was published by the International Organization for Standardization (ISO) with the aim of helping organizations combat bribery and promote an ethical business culture. Bribery is a major issue faced by businesses entities. However, organizations can now control the risk of bribery by adopting anti-bribery-anti-corruption compliance program by implementing the guidelines of ISO 37001:2016.

Documented information package: –

Our document kit comprises sample documents required for ISO 37001:2016 certification as listed below. All documents are in MS-Word / excel format and you can edit it. You can do changes as per your company needs and within few days your entire documents with all necessary system requirement scan be made ready. In the revised ISO 37001:2016, at few places, documented information are required. But for making better system, we have provided many templates from which a user can select to make own system with minor changes. Now, ISO 37001:2016 standard is not requiring manual, procedures, etc. It requires 2 type of documented information as listed below.

1. Maintain documented information Scope, system manual, process flow charts, policy etc.)
2. Retain documented information (Forms – templates)

Under this directory, further files are made in the Word Document as per the details listed below which you can edit it. All the documents are related to manufacturing / process industry.

1. System Manual (10 Chapters and 4 Annexure):

It covers sample copy of system manual and clause-wise details on how ISO 37001:2016 systems are implemented. It covers the context of organization, sample policy, objectives, scope, organizations structure as well as macro level each requirements from 4 to 10 of ISO 37001:2016 on how it is implemented in the organization. It covers ISO 37001:2016 documents for tier-1. It has total 10 chapters that cover company profile, amendment sheet, index, clause wise details as per ISO 37001:2016 for implementation. It covers sample copy of system manual and clause-wise details on how ISO 37001:2016 systems are implemented

(A) Table of Contents
Section – 1
1. Company profile
2. Table of contents
3. Control and distribution
Section – 2
4. Context of the Organization
Understanding the organization and its context
Understanding the needs and expectations of stakeholders
Determining the scope of the anti-bribery management system
Anti-bribery management system
Bribery risk assessment
5. Leadership
Leadership & Commitment
Anti-bribery policy
Organizational roles, responsibilities and authorities
6. Planning
Action to address risks and opportunities
Anti-bribery objectives and planning to achieve them
7. Support
Resources
Competence
Awareness and training
Communication
Documented information
8. Operation
Operational planning and control
Due diligence
Financial controls
Non-financial controls
Implementation of anti-bribery controls by controlled organizations and by business associates
Anti-bribery commitments
Gifts, hospitality, donations and similar benefits
Managing inadequacy of anti-bribery controls
Raising concerns
Investigating and dealing with bribery
9. Performance evaluation
Monitoring, measurement, analysis and evaluation
Internal audit
Management review
Review by anti-bribery compliance function
10. Improvement
Nonconformity and corrective action
Continual improvement
Annexures
ANX–I List of Documented information
ANX–II Glossary of terms
ANX–III Process Flow
ANX–IV Organization structure

2. Procedures (07 procedures):

It covers a sample copy of mandatory procedures as per ISO 37001:2016 covering all the details like purpose, scope, responsibility, how procedure is followed as well as the list of exhibits,
reference documents and formats. The list of sample procedures provided is as below.

List of Procedures

1. Procedure for document and data control
2. Procedure for corrective action
3. Procedure for internal audit
4. Procedure for management review
5. Procedure for Bribery Risk Management
6. Procedure for training
7. Procedure for Investigating and dealing with bribery

3. Process approach (10 process templates)

It covers guideline for processes, flow chart and process model useful for process mapping. It covers process flow chart and activities of all the main and critical processes as listed below with
input-output matrix for organization. It helps any organization in process mapping as well as preparing process documents for own organization. In Input and output matrix list of documents
input and output as well as interlink age of documents with other departments are given.

List of process flow chart

1. Process Flow Chart of Customer Service
2. Process Flow Chart of Dispatch
3. Process Flow Chart of Engineering
4. Process Flow Chart of Marketing
5. Process Flow Chart of Production
6. Process Flow Chart of Purchase
7. Process Flow Chart of Quality Control
8. Process Flow Chart of System Coordinator processes
9. Process Flow Chart of Stores
10. Process Flow for Training Activity

4. Policy (01 policy)

It covers sample copy of policies for ISO 37001:2016.

List of policy

1. Anti-bribery and Anti-corruption Policy

5. Exhibits (04 exhibits)

It covers Skill Requirements, Multi skill requirements, Document Identification and Codification System and Need and Expectations of stake holders etc.

List of exhibits

1. Exhibit for Skill requirements
2. Exhibit for Multi skill requirements
3. Exhibit for Document Identification and Codification System
4. Exhibit for Need and Expectations of stake holders

6. Blank sample formats for all the departments (34 sample formats)

It covers a sample copy of blank forms that are required to maintain records as well as establish control and create system in the organization. The samples given area guide for the user to follow. The organization is free to change the same to suit their own requirements. It can be used as templates. A total of 34 blank formats are provided as per the list given below.

List of blank formats

1. Master List & Distribution List of Documents
2. Change Note
3. Petty cash payment record
4. Master List of Records
5. Objectives Monitoring Sheet
6. Audit Plan / Schedule
7. Internal Audit Non–Conformity Report
8. ISO 37001:2016 Clause wise Audit Review Report
9. Investigation Report
10. Training Calendar
11. Employee Wise Training & Competence Record Sheet
12. Induction Training Report
13. Job Description & Specification
14. List of License / certificates / Compliance obligates
15. Training Report
16. Communication Report
17. Management review meeting
18. Multi Skill Analysis
19. Objective Plan
20. Bribery Risk Analysis sheet – department level
21. Bribery Risk Assessment Form – Organization level
22. Whistleblower Committee
23. Anti bribery compliance function report
24. Corrective Action Report
25. Manpower Requirement form
26. Order Form / Order Confirmation
27. Customer Feed Back Form
28. Customer Complaint Report
29. Purchase Order
30. Performance Appraisal Records–Staff
31. Indent And Incoming Inspection Record
32. Approved external provider list & Annual purchase order
33. External Provider Registration Form
34. Performance Appraisal Records–Functional Heads

11. Filled formats (17 sample filled formats)

It covers a sample copy of filled forms required to maintain records as well as establish control and create system in the organization. The samples given are a guide to follow and the organization is free to modify the same to suit their own requirements. It can be used as templates. A total of 17 formats are provided as per the list given below.

List of filled formats

1. Master List & Distribution List of Documents
2. Change Note
3. Master List of Records
4. Objectives Monitoring Sheet
5. Order Form / Order Confirmation
6. Audit Plan / Schedule
7. Internal Audit Non–Conformity Report
8. Bribery Risk Analysis sheet
9. Induction Training Report
10. Job Description & Specification
11. Customer Complaint Report
12. External Provider Registration Form
13. Indent And Incoming Inspection Record
14. Approved external provider list & Annual purchase order
15. Training Report
16. Performance Appraisal Records–Functional Heads
17. Manpower Requirement form

8. ISO 37001:2016 Audit Questionnaires (More than 350 Questions)

This covers audit questions based on the ISO 37001:2016 requirements for each department as per the list of departments given below. It will be a very good tool for the auditors to make Audit Questionnaire for auditing. It will bring effectiveness in auditing. A total of more than 350 Questions are prepared on the basis of ISO 37001:2016. It can be logically used for auditing during internal audit for ISO 37001:2016 to establish proper audit trail

9. Sample risk assessment sheet

The ready-to-use risk template in editable form is given to prepare the risk document for the organization. It is given in an excel format and can be used as a template.

10. ISO 37001:2016 compliance matrix

The ISO 37001:2016 requirement-wise list of documented information reference of this kit is given in the compliance matrix for easy reference of user to understand how this system is made.