ISO 37001:2016 (ABMS) Awareness Training

1. C:\Users\Allan BigMac\Documents\000 OEC\Logo\The Logo Company\FINAL\OperationalExD24aR02bP01ZL\TRANSPARENT.png ISO 37001:2016 Awareness C:\Users\Allan BigMac\Documents\000 OEC\Logo\The Logo Company\FINAL\OperationalExD24aR02bP01ZL\TRANSPARENT.png © Operational Excellence Consulting. All rights reserved. © Operational Excellence Consulting. All rights reserved.

2. NOTE: This is a PARTIAL PREVIEW. To download the complete presentation, please visit: https://www.oeconsulting.com.sg NOTE: This is a PARTIAL PREVIEW. To download the complete presentation, please visit: https://www.oeconsulting.com.sg Learning Objectives Gain an overview of ISO 37001 structure Provide background knowledge of ISO 37001 Learn useful tips on handling an audit session Understand the ISO 37001 certification process 2 © Operational Excellence Consulting. All rights reserved.

3. Contents 1 Overview of ISO 37001 2 ISO 37001 Structure 3 ISO 37001 Certification Process 4 Handling an Audit Session 3 © Operational Excellence Consulting. All rights reserved.

4. About ISO ▪ Non-governmental organization (NGO) established in 1947, based in Geneva, Switzerland ▪ Has a membership of 160 national standards institutes from countries in all regions of the world 4 © Operational Excellence Consulting. All rights reserved.

5. “Integrity, transparency and the fight against corruption have to be part of the culture. They have to be taught as fundamental values.” Angel Gurria OECD Secretary General © Operational Excellence Consulting. All rights reserved. 5

6. Bribery is Wide-spread Globally ▪ The World Bank estimates that over USD 1 trillion is paid in bribes each year ▪ EY Global Fraud Survey 2016 showed that 39% of respondents consider bribery and corruption to happen widely in their country ▪ According to a Transparency International study in 2011, 27% of the 3,016 business people surveyed across 30 countries reported that they had lost business due to bribery by their competitors 6 © Operational Excellence Consulting. All rights reserved.

7. Bribery is Wide-spread Globally ▪ Damage caused by bribery to countries, organizations and individuals: • Lowers economic growth • Discourages investment • Marginalizes and restricts global markets • Erodes support for economic aid • Puts a heavy economic burden on the poor • Lowers the standard of living of the people 7 © Operational Excellence Consulting. All rights reserved.

8. What is ISO 37001? ▪ ISO 37001 is an Anti-bribery Management System standard (ABMS) published in October 2016 ▪ It is designed to help an organization establish, implement, maintain and improve an anti-bribery compliance program ▪ It includes a series of measures and controls that represent global anti-bribery good practices 8 © Operational Excellence Consulting. All rights reserved.

9. What Does ISO 37001 Address? ▪ Bribery in the public, private and not- for-profit sectors ▪ Bribery by the organization, or by its personnel or business associates acting on the organization’s behalf or for its benefit ▪ Bribery of the organization, or of its personnel or business associates in relation to the organization’s activities ▪ Direct and indirect bribery (e.g. a bribe offered or accepted through a third party) 9 © Operational Excellence Consulting. All rights reserved.

10. ISO 37001 is Based on the ISO High-Level Structure for Management System Standards 6. Planning 1. Scope 7. Support 2. Normative References 8. Operation 3. Terms & Definitions 9. Performance Evaluation 4. Context of the Organization 10. Improvement 5. Leadership 10 © Operational Excellence Consulting. All rights reserved.

11. ISO 37001 Clause Structure (4-10) PLAN DO CHECK ACT 4. Context of the organization 5. Leadership 6. Planning 7. Support 8. Operation 9. Performance evaluation 10. Improvement 4.1 Understanding the organization and its context 5.1 Leadership and commitment 6.1 Actions to address risks and opportunities 7.1 Resources 8.1 Operational planning and control 9.1 Monitoring, measurement, analysis and evaluation 10.1 Nonconformity and corrective action 4.2 Understanding the needs and expectations of stakeholders 5.2 Anti-bribery policy 6.2 Anti-bribery objectives and planning to achieve them 7.2 Competence 8.2 due diligence 9.2 Internal audit 10.2 Continual improvement 4.3 Determining the scope of the anti-bribery management system 5.3 Organizational roles, responsibilities and authorities 7.3 Awareness and training 8.3 Financial controls 9.3 Management review 4.4 Anti-bribery management system 7.4 Communication 8.4 Non-financial controls 9.4 Review by anti- bribery compliance function 4.5 Bribery risk management 7.5 Documented information 8.5 Implementation of anti-bribery controls by controlled orgns & by business associates 8.6 Anti-bribery commitments 8.7 Gifts, hospitality, donations and similar benefits 8.8 Managing inadequacy of anti- bribery controls 8.9 Raising concerns 8.10 Investigating & dealing with bribery 11 © Operational Excellence Consulting. All rights reserved.

12. ISO 37001 Certification Process Request for Registration Document Review Pre-assessment Registration Decision Take Corrective Action The Registration Audit Maintaining Registration & Surveillance Audits Certification & Publicizing Your Registration 12 © Operational Excellence Consulting. All rights reserved.

13. Audit Findings Major Non-conformity Minor Non-conformity Observation 13 © Operational Excellence Consulting. All rights reserved.

14. Auditee’s Conduct ▪ Polite ▪ Professional ▪ Positive / Receptive ▪ Sincere ▪ Commitment ▪ Formal but not overly serious 14 © Operational Excellence Consulting. All rights reserved.

15. Interacting with Auditors ▪ Be honest and open ▪ Recognize they may be experts ▪ Realize they may not be subject matter experts ▪ Understand the purpose of the meeting and review related records prior to interviews ▪ Turn mobile phones to silent mode 15 © Operational Excellence Consulting. All rights reserved.

16. Interacting with Auditors ▪ Assume auditors are familiar with your organization’s ABMS ▪ Challenge auditors ▪ Show more competence in ISO 37001 ▪ Argue internally ▪ Express unfairness ▪ Ask for solution ▪ Fix non-conformities on the spot 16 © Operational Excellence Consulting. All rights reserved.

17. “The world will not be destroyed by those who do evil, but by those who watch them without doing anything.” Albert Einstein © Operational Excellence Consulting. All rights reserved. 17

18. Say NO to bribery 18 © Operational Excellence Consulting. All rights reserved.

19. About Operational Excellence Consulting C:\Users\Allan BigMac\Documents\000 OEC\Logo\The Logo Company\FINAL\OperationalExD24aR02bP01ZL\TRANSPARENT.png ▪ Operational Excellence Consulting is a management training and consulting firm that assists organizations in improving business performance and effectiveness. ▪ The firm’s mission is to create business value for organizations through innovative operational excellence management training and consulting solutions. ▪ OEC takes a unique “beyond the tools” approach to enable clients develop internal capabilities and cultural transformation to achieve sustainable world-class excellence and competitive advantage. For more information, please visit www.oeconsulting.com.sg 19 © Operational Excellence Consulting. All rights reserved.

20. TRANSPARENT.png Logo Fb / Logo Fb Png / How the hyperconnected are X Logo (Twitter | 01) - PNG Logo Women In Wilmington for Networking Operational Excellence Consulting is a management training and consulting firm that assists organizations in improving business performance and effectiveness. Based in Singapore, the firm’s mission is to create business value for organizations through innovative design and operational excellence management training and consulting solutions. For more information, please visit www.oeconsulting.com.sg 20 © Operational Excellence Consulting. All rights reserved.