ISO 37001:2016 – ANTI BRIBERY MANAGEMENT SYSTEM (COMPLIANCE AND IMPLEMENTATION PROGRAMME)

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INTRODUCTION TO  ISO 370012016 – ANTI BRIBERY MANAGEMENT SYSTEM (COMPLIANCE AND IMPLEMENTATION PROGRAMME)

As there is an increasing focus on bribery, business reputation, sustainability and growth are at stake.  The effects of bribery are felt globally and acts of bribery incur significant criminal sanctions. The ISO 37001:2016 – Anti-bribery management system (ABMS) can provide your organization with an international best-practice framework for prohibiting, preventing, detecting and reporting bribery.

The programme is designed to give participants a solid understanding in bribery and corruption detection and prevention in Malaysia. Participants will also be exposed and guided on the requirements of the Malaysian Anti-Corruption Commission Act 2009 and other relevant Laws in Malaysia and its application within the organization and the related industries & trade countries.

The current amendments of the Malaysian Anti-Corruption Commission Act 2009 in 2018 focuses on Corporate Liability. With this in mind, corporations need to have a adequate procedures in place to manage corruption risk.

Participants will be fully equipped to fulfill their role and uphold ethics and code of conduct in their respective organization with the appropriate legal compliance, standards, framework and practices, from a risk management perspective – Prevention is better than cure.

 

COURSE OBJECTIVE
By the end of the course you will be able to:

  • Understand and comprehend the requirements of ISO 37001:2016
  • Understand the background, structure and intent of Malaysian Anti-Corruption Commission Act 2009 & Amendment 2018
  • Understand the need to comply with the Anti Bribery & Corruption Plan
  • Understand the adoption of Plan, Do, Check, Act (PDCA) methodology
  • Understand the importance due diligence within the parameters of legal provisions
  • Ability to identify existing / potential ethical conduct within the organization or emanating from external sources, which may have an impact on Business Continuity activities
  • Be able to spot malpractices & Red Flags during the course of hiring, sourcing and contract management.
  • Importance of official documents and the need to comply with documentation requirement.
  • Method of Internal Audit and Corruption Risk Assessment

 

WHO SHOULD ATTEND
Awareness for enterprise wide non managerial and non-executive staff

 

TRAINING METHODOLOGY

  • Highly Interactive Session, with a bilateral approach to the subject matter allowing participants to share incidences at respective work locations.
  • Short Video Presentation
  • Mind Mapping and Recap Sessions
  • Delivery in English and Bahasa Melayu
  • Case Studies on various reported Cases

 

DURATION

2 Days

 

COURSE CONTENT
A. Anti-Bribery Management Principles and Vocabulary
(Fundamentals – Strategic Values of ISO 37001:2016)

  • Business Ethics, Corporate Integrity and Code of Conduct
    • Business Ethics
    • Corporate Integrity
      • How to acquire Integrity
      • Examples of “No-Integrity” Conduct
      • Examples of “High-Integrity” Conduct
      • “Self-Affirmation” & “Detoxification of No-Integrity Elements”
        • Classroom Activity
    • Code of Conduct
    • Laws governing Business Ethics
    • Role of Business Ethics, Integrity and Code of Conduct
      • Supporting Business Continuity
      • Impact of Non-Compliance
  • Types of Incidences and Observed Misconduct
    • Examples and Statistics
  • Compliance Framework
    • Legal
      • MACC Act 2009
      • Evidence Act 1950
      • Employment Act 1955
      • Contracts Act 1950
    • Standards
      • ISO 37001:2016 (Anti Bribery Management System)
      • ISO 9001:2015
      • ISO 31000
    • Best Practices
  • For the purposes of managing the following Assets
    • People (Internal & External)
    • Property (Tangible & Intangible)
  • Management Systems
    • The Plan, Do, Check, Act (PDCA) cycle
  • Structure of ABMS (An overview to understand and appreciate Management Effort)
    • Context of the Organization
    • Leadership
    • Planning
    • Support
    • Operation
    • Performance Evaluation
    • Improvement
  • Compliance to Ethics
    • Definition and the need to comply
    • Ethics and Integrity risk
    • Difference between personal, business and professional ethics
    • Categorisation of non-ethical and non-integral values
    • Adverse effects
  • Laws and Standards governing Ethics (Overview)
    • Laws of Malaysia (MACC Act 2009 – S. 17A) and International Laws
    • Other related laws
    • ISO 37001 – Anti Bribery Management System
  • Bribery & Corruption
    • Definition under the law
    • Tell tale signs
    • Common forms
    • Conventional and unconventional methods
    • Book transaction
    • Bribery samples and illustration

 

B. Planning

  • Bribery & Corruption Risk and Corporate Governance
    • Fundamentals
    • Ingredients
    • Environment, People and Opportunity
    • Dominant factor
    • Corporate governance in jeopardy
    • Generic reasons for bribery and Corruption
    • Risk (Reality vs Myth)
    • Risk Assessment
      • Process Gap
      • Bribery & Corruption Risk Identified from Gap
      • Risk Rating – Severity Rating
      • Gap Closure
    • The risk domains in an organisation
    • Red Flags of Bribery
    • Enhancing corporate governance
  • Guiding Principles and Standards
    • Adequate Procedure Guidelines issued by the Prime Minister’s Department
    • ISO 37001:2016 Standard
  • Adequate Procedures Encompass The Following (Overview and Real Life Case Studies)
    • Adequate Procedures Guideline (An Overview)
      • T.R.U.S.TTop Level Commitment – Risk Assessment – Undertake Control Measures – Systematic Review, Monitoring and Enforcement – Training and Communication
    • IT and Physical Security
    • Human Resources
    • Procurement Services & Third Party Management
    • Finance Processes (Accounts Receivable and Accounts Payable)
    • Claims Management
    • Inventory management
    • Quality control
    • Zero Balancing – Record keeping and reporting
    • Credit Note Management
    • Commercial Document Management
    • Disposal of obsolete and damaged goods – Scrapping Process, Writing Off Process

 

C. Operational Control

  • Developing and Implementing Anti Bribery and Compliance Programme
    • Top Down Exercise – Management Support
    • Due Diligence and Risk Management
    • Developing, Implementing and Enforcement of Anti-Bribery Programme
    • Detailed policies for particular risk areas
    • Application of the Anti-Corruption programme to Business partners
    • Internal Controls and documentation
    • Communication and training
    • Seeking guidance from Superiors – Detecting and reporting violations
    • Addressing violations and what to do next
    • Periodic reviews and evaluation of the anti-corruption programme
  • Importance Due Diligence
    • Requirement to conduct Due Diligence for employees and third party partners
      (Contractors, Vendors, Suppliers)
    • Importance of Chain of Custody of records and evidence of Due Diligence
    • The importance Digital and Manual Records – Evidential Weightage
  • Improving Ethical Behaviour in Business In Line With ISO 37001:2016
    • 3 Key Elements that Influences Ethical / Unethical Decisions in an Organisation
      • Individual Standards & Values
      • Managers & Co- Workers Influence
      • Opportunity (Codes & Compliance Requirements)
    • Compliance to Corporate Governance (Organisational Policy)
      • HR Policies (Employee Relations & Code of Ethics)
      • Departmental SOPs, Job Description and KPIs
    • The importance of training and communicating the Anti Bribery Policies and SOPs
    • Whistleblowing (Whistle-blower Protection Act 2010)
    • Spotting and reporting Red Flags
    • Joint Responsibility Approach
    • Compliance to related regulations, laws and standards.
    • Consequence Management (Disciplinary Process), Prosecution and the Law
    • Record Keeping
    • Trending Analysis
  • Non-Compliance To ABMS (ISO 37001:2016)
    • Sanctions
    • Breach of legal requirements due to affiliation of the standard with MACC Act 2009

 

D. Evaluation and Improvement

  • Compliance Inspection & Audit Methodology
    • Guiding Standard ISO 31000 and ISO 9001:2015
    • Critical Process Identification
    • Risk Based Auditing
    • Gap Assessment
    • Risk Description
    • Severity Rating (Risk Analysis)
    • Maturity Tracker

 

E. Desktop Exercise

  • Scenario based desktop exercise
  • Group Discussion
  • Presentation

 

End of Session followed by Questions and Answers

 

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ISO 370012016 - ANTI BRIBERY MANAGEMENT SYSTEM (COMPLIANCE AND IMPLEMENTATION PROGRAMME)

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