ISO 37001 Audit Checklist

What is an ISO 37001 Audit Checklist?

An ISO 37001 audit checklist is a document that businesses can use to ensure they are compliant with the standards to avoid, detect, and address bribery. This checklist can be used to standardize practices, identify points for improvement, create better anti-bribery and corruption measures, and more.

Importance and Benefits

When it comes to managing your business’s anti-bribery policies and practices, an ISO 37001 audit checklist serves as a crucial tool for upholding ethical standards. This checklist plays a pivotal role in the auditing process, ensuring that an organization’s Anti-Bribery Management System (ABMS) aligns with the stringent requirements outlined in the ISO 37001 standard.

Using an ISO 37001 audit checklist also helps auditors and managers standardize their processes for examining and optimizing business processes. Its structured format allows for a consistent and standardized assessment process, enabling auditors to systematically review and compare that serves as a valuable record, providing tangible proof of the organization’s commitment to anti-bribery practices.

Additionally, having a dedicated ISO 37001 helps with the following:

• Identifying areas in your business that are vulnerable to bribery and mitigating their risks.

• Improving business performance and processes regularly and continuously by using the ISO 37001 standard to identify points of improvement.

• Documenting issues with compliance and how they are addressed.

What to Include in an ISO 37001 Audit Checklist

Your ISO 37001 audit checklist should follow the guidelines set by ISO and should have fields for the following:

• Details about your organization, such as:

  • Problems often encountered

  • Solutions to problems

  • Documentation

• Details about your organization’s leadership

• Context on how your organization plans for risks, solutions, trainings, and policies

• Details how employee and policy performance is reviewed, analyzed, and evaluated

• Points for improvement as identified within the checklist and based on previous experiences

• Further recommendations

• Sign off for auditor responsible for initiating the audit

Here is a sample report of an ISO 37001 audit checklist in use for reference:

ISO 37001 Audit Checklist Sample Report | SafetyCulture

Where to Use

You can use your ISO 37001 audit checklist for the following:

• Performing regular audits and inspections on your business leaders.

• Ensuring compliance with not only the ISO 37001 anti-bribery standards, but also other legal and financial policies relevant to your location and industry.

• Creating new policies after identifying points for improvement.

• Making and implementing new training programs.

• Investigating instances of bribery within the organization.