PECB ISO 37001 Foundation flashcards

33 cards. Read the term and the definition here. The deck at the top of this page is optional.

Bribery definition

Offering, promising, giving, accepting, or soliciting an undue advantage of any value, directly or indirectly, as an inducement or reward for an improper action or omission by a person.

Undue advantage

Any benefit, financial or non-financial, to which the recipient is not lawfully entitled and that is intended to influence conduct improperly.

Facilitation payment

A small payment made to a public official to speed up a routine action the official is already obliged to perform; ISO 37001 requires it to be prohibited or tightly controlled.

Extortion versus bribery

In extortion the payer acts under duress and receives no improper advantage; in bribery the payer offers or gives the advantage voluntarily to obtain improper benefit.

ABMS purpose

A structured set of policies, processes, and controls designed to prevent, detect, and respond to bribery across an organization and its business relationships.

ISO High-Level Structure

A common clause framework (context, leadership, planning, support, operation, evaluation, improvement) that allows ISO management-system standards to be integrated and audited consistently.

PDCA in ISO 37001

Plan covers context, leadership, and planning; Do covers support and operation; Check covers performance evaluation; Act covers improvement, forming the continuous cycle of the ABMS.

Bribery risk assessment

A documented evaluation of the likelihood and impact of bribery, considering country, sector, transaction type, business partners, and the nature of the organization's activities.

Business associate

An external party with whom the organization has, or plans to establish, some form of business relationship, including agents, consultants, contractors, and joint-venture partners.

Third-party due diligence

A risk-based process of gathering and evaluating information about a business associate's integrity and bribery risk before engagement and during the relationship.

Certification scope

Certification confirms the ABMS conforms to ISO 37001 requirements; it does not certify that the organization is free of bribery.

Tone at the top

Visible commitment by top management to anti-bribery through policy, resource allocation, and personal conduct, which drives the effectiveness of the entire ABMS.

Conflict of interest

A situation where a person's private interest could improperly influence their professional judgment; it must be identified and managed to prevent bribery.

Gifts and hospitality

Benefits offered or received in a business context that must be controlled through policy, thresholds, approval, and recording to avoid becoming improper inducements.

Speak-up culture

An environment where employees and others feel safe to report suspected bribery without fear of retaliation, supported by confidential reporting channels.

Clause 4 context

Requires the organization to determine external and internal issues, interested parties and their requirements, define the ABMS scope, and establish the ABMS processes.

Clause 5 leadership

Requires top management commitment, an established anti-bribery policy, and assigned roles, including a compliance function with direct access to top management.

Anti-bribery policy

A documented statement of the organization's prohibition of bribery, applicable to all persons working for or on its behalf, including business associates.

Clause 6 planning

Requires identification of bribery risks and legal requirements, setting of objectives, and planning of actions to address risks and opportunities.

Clause 7 support

Requires resources, competence, awareness and training, communication, and control of documented information needed for the ABMS to operate effectively.

Clause 8 operation

Covers operational planning and control, due diligence on business associates, financial and non-financial controls, reporting, and investigation of suspected bribery.

Financial controls

Controls over payments, approvals, segregation of duties, and records that reduce the risk of bribery being concealed through financial transactions.

Non-financial controls

Controls such as procurement rules, gift and hospitality registers, conflict-of-interest declarations, and approval thresholds that limit improper advantages outside cash payments.

Clause 9 evaluation

Requires monitoring, measurement, analysis, and evaluation; internal audit of the ABMS; and management review by top management at planned intervals.

Clause 10 improvement

Requires action to address nonconformities and their causes, and continual improvement of the suitability, adequacy, and effectiveness of the ABMS.

Internal audit

An independent, planned review of ABMS processes and controls to determine whether they conform to the standard and are effectively implemented.

Management review

A top-management evaluation of ABMS performance, including audit results, risk changes, and improvement actions, recorded as documented information.

Nonconformity

A failure to meet a requirement of ISO 37001 or of the organization's own ABMS processes; it must be corrected and its cause addressed.

Corrective action

Action taken to eliminate the cause of a detected nonconformity so it does not recur, typically following root-cause analysis.

Documented information

Information and the medium on which it is contained that must be created, maintained, and controlled to evidence ABMS conformity.

Compliance function

A person or team responsible for overseeing the ABMS, advising on bribery risk, and having direct access to top management and the governing body.

Reporting channel

A confidential mechanism allowing employees and third parties to report suspected bribery, with protection against retaliation for good-faith reports.

Investigation process

A documented procedure for receiving, assessing, and investigating suspected bribery, with defined responsibilities, confidentiality, and reporting of outcomes.