ISO/IEC TS 17021-9:2016 PDF

Overview

ISO/IEC TS 17021-9:2016 specifies competence requirements for bodies providing audit and certification of anti-bribery management systems (ABMS). This technical specification complements the general requirements of ISO/IEC 17021-1 by defining the specific expertise auditors and certification personnel must possess to effectively evaluate and certify organizations implementing anti-bribery controls based on ISO 37001:2016. It is essential for conformity assessment bodies to ensure that personnel involved in ABMS audits have a deep understanding of bribery risks, legal frameworks, and anti-bribery management systems in order to maintain the integrity and reliability of the certification process.

This standard supports organizations aiming to combat bribery risks and enhance transparency by guaranteeing the competence of auditors who assess compliance and the effectiveness of anti-bribery programs.

Key Topics

• Competence Requirements for ABMS Audit Teams: Auditors must collectively demonstrate comprehensive knowledge of bribery concepts, including direct and indirect payments, facilitation payments, non-financial benefits, and conflicts of interest.

• Understanding of Bribery Risks: Auditors require familiarity with risks associated with third parties like public officials, agents, consultants, and family relations, as well as bribery scenarios impacting recruitment, commercial activities, gifts, procurement, supply chain, and mergers.

• Knowledge of Anti-Bribery Controls: Audit teams must be skilled in evaluating the design and implementation of controls that prevent, detect, and respond to bribery incidents.

• Legal and Regulatory Context: Auditors need insight into relevant laws, regulations, and organizational compliance procedures to verify that these requirements are effectively met and integrated within the ABMS.

• Bribery Risk Assessment and Due Diligence: The standard highlights the importance of understanding methodologies for bribery risk assessment and due diligence processes, as outlined in ISO 37001.

• Competence for Other Certification Personnel: In addition to auditors, personnel involved in reviewing applications, audit reports, and certification decisions must possess relevant knowledge of bribery concepts and organizational context.

• Alignment with ISO 37001: The specification reinforces auditing competency aligned with ISO 37001, an internationally recognized standard for anti-bribery management systems.

Applications

• Certification Bodies: Ensure auditors and certification decision-makers meet ABMS-specific competence criteria for effective and credible certification.

• Organizations Seeking Certification: Benefit from rigorous auditing by competent personnel, which helps strengthen anti-bribery practices and compliance globally.

• Anti-Bribery Program Implementation: Facilitates improved identification and mitigation of bribery risks through competent third-party assessment.

• Risk Management and Compliance: Enhances organizational transparency and governance by verifying anti-bribery controls during certification audits.

• Training and Development: Provides a framework for developing and validating the competence of audit teams specializing in anti-bribery management systems.

Related Standards

• ISO/IEC 17021-1:2015 – General requirements for bodies providing audit and certification of management systems, forming the basis for ABMS audit competence.

• ISO 37001:2016 – Anti-bribery management systems – Requirements and guidance, serving as the core reference for ABMS auditing and certification.

• ISO 19011 – Guidelines for auditing management systems, offering principles and practices applicable to ABMS audits.

• ISO 31000 – Risk management principles, relevant for understanding and assessing bribery risk.

• OECD Good Practice Guidance – Provides additional context for internal control, ethics, and compliance related to anti-bribery efforts.

By adhering to ISO/IEC TS 17021-9:2016, certification bodies can ensure that audit teams possess the specialized skills and knowledge required to authenticate effective anti-bribery management systems, supporting global efforts to combat corruption and promote ethical business practices.