ISO 37001: TO INVEST IN THE ACCREDITED CERTIFICATION

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1 ISO 37001: TO INVEST IN THE ACCREDITED CERTIFICATION GLOBAL COMPLIANCE & ANTI-CORRUPTION SUMMIT 15 th and 16 th November 2017, Brussels, Belgium ROLF PERCY HERBERG Business Assurance Manager

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7 ISO 37001: ANTI-BRIBERY MANAGEMENT SYSTEM The standard [ ISO 37001:2016 ] Specifies the implementation by the organization of reasonable and proportionate policies, procedures and control tools, in accordance to the bribery risks faced by the organization Applies only to bribery Provides requirements and guidance for a management system designed to help organizations to: Prevent, detect and respond to bribery Comply with anti-bribery laws and voluntary commitments applicable to their activities

8 ISO 37001: ANTI-BRIBERY MANAGEMENT SYSTEM The standard is designed for a wide range of organizations: Large organizations Small & medium enterprises Public and private sector organizations Non-governmental organizations Can be applied by the organizations of any country

9 ISO 37001: MEASURES AND CONTROLS TO BE IMPLEMENTED 1/2 A policy for the prevention of bribery, procedures and controls Communication of the policy and its program to all interested parties and/or associates Leadership, commitment and responsibility A monitoring procedure Corruption prevention training Risk assessment

10 ISO 37001: MEASURES AND CONTROLS TO BE IMPLEMENTED 2/2 Due diligence on projects and business partners of the organizations Reporting, monitoring, investigation and review of senior management and, if any, of the body of governance The requirement to sign a commitment to the prevention of corruption to their members Implementation of financial controls to reduce the risk of corruption Corrective actions and ongoing improvement

11 CERTIFICATION PROCESS: OVERVIEW ISO certification may be requested by any type of organization, of any size and/or nature There is no possibility of exclusion for any site or process within the same Country The certification is issued to a Legal subject as a whole, and to all its departments/branches, processes and activities actually performed In the case the organization has operational sites in more than one country, it is possible to restrain the application of the Anti-bribery Management System only to some of them In this last case, it may however be necessary to evaluate some aspects related to the Head Office, despite this last not being included in the scope of the certificate

12 CERTIFICATION PROCESS: STEPS 1/2 DEFINITION OF CERTIFICATION SCOPE Pre-audit (optional): gap analysis and diagnosis of current position company against standard Certification audit performed in 2 stages: Stage 1 - readiness review performed to verify that the organization is ready for certification Stage 2 - evaluation of implementation, including the effectiveness, of the management system of the organization

13 CERTIFICATION PROCESS: STEPS 2/2 Surveillance audits to verify that the management system continues to fulfil the requirements of the standard and monitor the continual improvement Re-certification after 3 years to confirm the continued compliance and effectiveness of the management system as a whole

14 THE IMPORTANCE OF CERTIFICATION ISSUED UNDER ACCREDITATION 1/4 Accreditation is the formal recognition of the technical and organizational competence of a conformity assessment body to carry out specific services in accordance with the standards (ISO, IEC, etc.) or technical regulations as described in its scope of accreditation Accreditation is the independent evaluation of certification bodies against the specific standards ISO to ensure their competence, independence and impartiality

15 THE IMPORTANCE OF CERTIFICATION ISSUED UNDER ACCREDITATION 2/4 COMPETENCE The experience and technical skills of the staff in the accredited body are verified by qualified assessors with relevant expertise and specialized knowledge INDEPENDENCE Accredited bodies that grant certification shall show independence from the organization to which their services are provided IMPARTIALITY Accredited bodies shall show absence or proper management of conflicts of interest with the client to whom they provide services

16 THE IMPORTANCE OF CERTIFICATION ISSUED UNDER ACCREDITATION 3/4 In the European Union, ACCREDITATION is performed by National Accreditation Bodies (NABs) appointed by governments as required by Regulation (EC) 765/2008 In all EU member states, governments are responsible for accreditation ACCREDITATION supports both regulated and voluntary areas ACCREDITATION facilitates trade and benefits the market and society

17 THE IMPORTANCE OF CERTIFICATION ISSUED UNDER ACCREDITATION 4/4 The activities performed by European accreditation bodies are recognized both within the EU and worldwide through their signatory status to the EA Multilateral Agreement (EA MLA) The EA MLA is recognized at the international level by the International Accreditation Forum (IAF) and the International Laboratory Accreditation Cooperation (ILAC). It means that EA MLA signatories benefit from global recognition through the IAF and ILAC mutual agreements and their consequent ILAC/IAF MRA/MLA marks IAF Multilateral Recognition Arrangement (MLA)

18 A LOT OF BENEFITS OF OPTING FOR AN ACCREDITED CERTIFICATION BODY 1/4 Choosing a certification body that has been accredited by an accreditation body that is a signatory to the IAF Multilateral Recognition Arrangement (MLA) has proved that it complies with best practice. [Source: IAF B3 1/2012]

19 A LOT OF BENEFITS OF OPTING FOR AN ACCREDITED CERTIFICATION BODY 2/4 WIN new business particularly since the use of accredited conformity assessment services is increasingly a stipulation of specifiers in both the public and private sector. GAIN access to overseas markets since certificates issued by bodies that are accredited by an IAF MLA signatory are recognized and accepted throughout the world. CONTROL costs with the help of knowledge transfer since accredited certification bodies can be a good source of impartial advice. [Source: IAF B3 1/2012]

20 A LOT OF BENEFITS OF OPTING FOR AN ACCREDITED CERTIFICATION BODY 3/4 DE-RISK your procurement by taking the guesswork out of choosing a certification body by giving you confidence that you will get the service that closely meets your requirements. HELP to identify best practice since the certification body is required to have appropriate knowledge of your business sector. OFFER market differentiation and leadership by showing to others credible evidence of good practice. DEMONSTRATE due diligence in the event of legal action. REDUCE paperwork and increase efficiency by reducing the necessity to re-audit your business. [Source: IAF B3 1/2012]

21 A LOT OF BENEFITS OF OPTING FOR AN ACCREDITED CERTIFICATION BODY 4/4 REDUCING controls Accredited certification conveys presumption of conformity with official standards and regulations. This means that businesses do not need to provide additional evidence, and their activities are simplified subsequent to reduction or elimination of controls. SUPPORTING export The international recognition of conformity assessment reports covered by accreditation boosts business expansion on foreign markets without the need to carry out additional verifications. [EA European Accreditation "ACCREDITATION, A TOOL TO SUPPORT REGULATORS ]

22 RINA: FIRST ACCREDITED CERTIFICATION BODY IN THE WORLD FOR ISO RINA SERVICES S.p.A. have chosen to seek accreditation in order to be able to demonstrate an independent confirmation of their competence and independence. Since April 2017 RINA SERVICES S.p.A. is accredited by ACCREDIA. Under accreditation, RINA SERVICES S.p.A. issued certification according to ISO to many companies in different sectors: Oil & Gas, Construction, Energy, Engineering & Electronics

23 ISO 37001: SOME CERTIFICATES ISSUED BY RINA UNDER ACCREDITATION 1/5 ROBERT BOSCH MIDDLE EAST FZE the first ISO for a German organization the first in the Middle East CERTIFICATION SCOPE: marketing and after sales service, sales & training, wireless equipment & instruments trading, computer software trading in the sectors of automotive, power tool, security systems, drive and control technology for the middle east market

24 ISO 37001: SOME CERTIFICATES ISSUED BY RINA UNDER ACCREDITATION 2/5 ENI S.p.A. CERTIFICATION SCOPE: direct and/or indirect management of activities, in Italy, through participation in societies, institutions or companies, in the field of hydrocarbons and natural vapors, such as exploration, construction and management of hydrocarbon deposits and pipelines, production, processing, storage, utilization and trade of hydrocarbons and natural vapors ENEL S.p.A. CERTIFICATION SCOPE: control and management of participations and shareholding in companies in Italy and abroad, strategic guidance and coordination towards controlled companies in their activities and assets in the field of electric energy including production, import and export distribution and sale

25 ISO 37001: SOME CERTIFICATES ISSUED BY RINA UNDER ACCREDITATION 3/5 SALINI IMPREGILO S.p.A. CERTIFICATION SCOPE: design, construction, renovation and maintenance, on its own or on behalf of third parties, of civil, industrial, infrastructural and plant engineering works CONSORZIO INTEGRA SOCIETÀ COOPERATIVA CERTIFICATION SCOPE: contractor activities / public services management. acquisition, even throughout structured finance instruments, of contracts with regard to the design and / or the realization, by counterparts, of civil, infrastructural, plant building structures and services provision

26 ISO 37001: SOME CERTIFICATES ISSUED BY RINA UNDER ACCREDITATION 4/5 CONSTRUTORA QUEIROZ GALVÃO S.A. CERTIFICATION SCOPE: management, design and execution of engineering projects: civil, electrical and mechanical, focusing on infrastructure buildings, sanitation, construction and electromechanical assembly with supply and commissioning MONITORE SEGURANÇA PATRIMONIAL LTDA CERTIFICATION SCOPE: surveillance services, private security and monitoring of electronic security systems

27 ISO 37001: SOME CERTIFICATES ISSUED BY RINA UNDER ACCREDITATION 5/5 HOPE RECURSOS HUMANOS S.A. CERTIFICATION SCOPE: provision of services and maintenance of buildings, maintenance of buildings, maintenance of green areas, engineering management and labor supply for technical and administrative support. ELFE OPERAÇÃO E MANUTENÇÃO S.A. CERTIFICATION SCOPE:management and execution of industrial maintenance services onshore and offshore. provision of monitoring and corrosion control services of pipelines and outsourcing of manual labor.

28 RESULTS: WHAT DOES SAY THE EXPERIENCE? The experience has highlighted that Anti Bribery Management System certification has been seen in the market and among organizations as a compliance system The communication within the audit process and external is a very sensitive aspect since the internal and external perception is about legal compliance and all related aspects. The impression about the complexity of the standard is that it is more fitting international companies with already established internal controls for all risks, including bribery.

29 RESULTS: WHAT IS THE EFFORT FOR A COMPANY INTERESTED TO ISO CERTIFICATION? NO BIG EFFORT if the company has already implemented an anti bribery system according to specific local law/regulations (e.g. FCPA, UK Bribery Act, 231 Model, ) ISO and such systems have many common points: risk assessment due diligence The FLEXIBILITY of ISO allows companies to incorporate varies national anti-bribery laws into their management system

30 RESULTS: WHY INVEST IN ISO 37001? ISO complements and builds on leading international guidance for anti-bribery. The ISO standards in many ways embody the global guidance provided by countries on what the regulators expect organizations to do and implement in order to have an effective program to prevent corruption and bribery

31 Rolf Percy Herberg Business Assurance Manager Ph Mob RINA SERVICES S.p.A. Via Corsica, Genoa - Italy Ph Fax info@rina.org