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Documented information- Documents and Records required in ISO 37001 Certification

ISO 37001 Certification is the need of every organization nowadays, to conduct the business smoothly without the risk of bribery. ISO 37001 Certification implementation helps the business to identify the risk assessment involved in management to control or eradicate the risk of any cause of bribery for the organization or of organization.

ISO 37001 Certification helps the organization to maintain integrity in the conduct of the business by developing an anti-bribery management body.

To acquire ISO 37001 Certification organizations need to provide all the listed documents for compliance with the standard. The documented information under 7.5.1 may include:

a) acknowledgment receipt of anti-bribery policy by the organization;

b) assistance of anti-bribery policy to business connections which might cause the threat of bribery;

c) the policies, techniques, and controls of the anti-bribery management system;

d) assessment result of anti-bribery; (see 4.5);

e) training provided to the workforce (see 7.3);

f) review of policy carried out thoroughly (see 8.2);

g) taking measures to implement the anti-bribery management system;

h) acceptance and enrollment of keepsake, hospitality, charity, and equivalent accepted and prescribed(see 8.7);

i) the actions and results carried for:

  • any drawback of the anti-bribery management system;
  • incidents attempted, suspected, or actual bribery;

j) the results of monitoring, examining, or auditing done by the organization or third parties.

Also, Check —>> ISO 37001 Certification in India

To provide evidence of conformity to the Anti-Bribery Synergy Certification Body, the applicant or the ISO 37001:2016 certified organization needs to provide evidence of the following minimum documented information:

  • the scope of the anti-bribery management system i.e. the ISO 37001 Certification scope (clause 4.3);
  • monitoring, reviewing, and assessing of the bribery risks (clause 4.5);
  • the anti-bribery policy published in different(especially regional)languages (clause 5.2);
  • objectives that can be measurable and achievable (clause 6.2);
  • competence of personnel (clause 7.2.1);
  • acknowledgment and guidance provided to employees and business associates (clause 7.3);
  • proof of process carried as planned(clause 8.1.);
  • techniques and results of acknowledgment, calculation, analysis, and evaluation (clause 9.1.);
  • the internal audit (clause 9.2);
  • finalization of top hierarchy (clause 9.3.1);
  • review and result by governing bodies (clause 9.3.2);
  • corrective actions taken to control nonconformities (clause 10.1).

Documentation found in the practice of Anti-Bribery

An ISO 37001 certified organization, we recommend the following documents and records are commonly used:

  • ISO 37001 Certification ABMS manual or handbook, policies, procedures, and controls of the anti-bribery management system;
  • communication of anti-bribery policy by personnel;
  • communication of the anti-bribery policy to business associates who pose more than a low risk of bribery;
  • bribery risk assessment matrix;
  • anti-bribery training records;
  • due diligence records carried out for business associates or personnel, for specific transactions, projects, activities or agreements;
  • the measures which have been taken to implement the anti-bribery management system;
  • acceptance and prescribing of gifts, hospitality, charity, and equivalents given and taken;
  • records of the actions and particular outcomes of concerns raised in relation to:
  • records of any weakness of the anti-bribery management system;
  • records of incidents of attempted, suspected, or actual bribery;
  • the records of results of monitoring, inspections, investigations or auditing carried out by the organization or third parties;
  • internal audits records;
  • inputs and outputs records of management system review meetings.


The evaluation of ISO 37001:2016 is tough and highly determined and strategic. Documentation against policy standards is quite extensive and requires the hands of experts. To make the ISO 37001 Certification process simple and quick, hiring a consultant will guide you and your business through the following steps to achieve ISO 37001 Certification by providing:

  1. Gap Analysis Training
  2. Testing
  3. Documentation & Test Report
  4. Process Audit
  5. External Audit
  6. Certification and beyond

This post first appeared on What Is ISO Certification And Its Benefits?, please read the originial post: here

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Documented information- Documents and Records required in ISO 37001 Certification


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