| File Reference : | ISO 37001:2016 Requirements Checklist |
| Date File Updated | 29-10-24 |
| File Format | MS Word |
| No. of files | 1 |
| Category | ISO Checklists | Tags: ISO 37001 |
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This checklist follows the ISO 37001:2016 anti-bribery clauses, from the bribery risk assessment to due diligence and raising concerns.
Prepared using the F-Q2 Audit Checklist form template.
The file is supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:
- Checklist number and title
- Information-classification
- Version
- Page number / total pages
Further guidance on anti-bribery and internal auditing:
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ISO 37001:2016 Internal Audit Checklist Template
A full clause internal audit checklist for ISO 37001:2016, the anti-bribery management systems standard, outlining the areas to be assessed and referencing each clause, for example 4.5 bribery risk assessment. It is set out on the F-Q2 Audit Checklist format, with the scope, criteria, auditor and date recorded at the top and space against each clause to record the evidence viewed, responses and findings.
For the revised edition of the standard, the ISO 37001:2025 Requirements Checklist follows the 2025 clauses.
Note: ISO clause checklists only include the clause numbers and short prompts for each clause (due to copyright reasons) and therefore a full version of the ISO standard is required to be used in conjunction with these checklists.
What the Checklist Covers
- Context of the organisation - issues, stakeholders, scope and the bribery risk assessment
- Leadership - the governing body and top management, the anti-bribery policy, roles and the anti-bribery compliance function
- Planning - risks and opportunities, and anti-bribery objectives
- Support - resources, competence and the employment process, awareness and training, communication and documented information
- Operation - due diligence, financial and non-financial controls, controlled organisations and business associates, anti-bribery commitments, gifts and hospitality, raising concerns and investigating bribery
- Performance evaluation and improvement - monitoring, internal audit, management review, review by the anti-bribery compliance function, and corrective action
Using the Checklist
It is useful for audit preparation, gap analysis and training staff in what the standard asks for, as well as for internal audits. Record the scope and criteria at the top, then work through each clause, noting the evidence viewed and any findings. Findings are followed up through corrective action and reported to the anti-bribery compliance function.
Planning the Audit
Have the anti-bribery policy, the bribery risk assessment, due diligence records, the gifts and hospitality register and the record of the last management review to hand, along with the standard itself, and arrange time with the anti-bribery compliance function.
Preparing for Certification
Before a certification audit, working through every clause with the anti-bribery compliance function shows where evidence is missing, so gaps can be closed in good time. The checklist can be repeated after changes such as a new market, a new type of business associate or a change in the bribery risk assessment.
Completed Example
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Related Documents
Documents that work alongside this checklist:
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