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GB/T 27021.9-2021: Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 9: Competence requirements for auditing and certification of anti-bribery management systems
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Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 9: Competence requirements for auditing and certification of anti-bribery management systems
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GB/T 27021.9-2021
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Basic data | Standard ID | GB/T 27021.9-2021 (GB/T27021.9-2021) | | Description (Translated English) | Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 9: Competence requirements for auditing and certification of anti-bribery management systems | | Sector / Industry | National Standard (Recommended) | | Classification of Chinese Standard | A00 | | Word Count Estimation | 9,981 | | Issuing agency(ies) | State Administration for Market Regulation, China National Standardization Administration | GB/T 27021.9-2021: Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 9: Competence requirements for auditing and certification of anti-bribery management systems
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Conformity assessment-Requirements for bodies providing audit and certification of management systems-Part 9.Competence requirements for auditing and certification of anti-bribery management systems
ICS 03.120.20
CCSA00
National Standards of People's Republic of China
Conformity assessment management system audit certification body requirements
Part 9.Anti-bribery management system review and
Certification ability requirements
(ISO /IEC TS17021-9.2016, IDT)
Released on 2021-04-30
2021-11-01 implementation
State Administration of Market Supervision and Administration
Issued by the National Standardization Management Committee
Table of contents
Foreword Ⅲ
Introduction Ⅳ
1 Scope 1
2 Normative references 1
3 Terms and definitions 1
4 General competency requirements 1
5 Competence requirements of the ABMS audit team 1
5.1 General 1
5.2 Concept of bribery 1
5.3 Organizational environment 2
5.4 Laws, regulations and other requirements 2
5.5 Bribery risk assessment and due diligence 2
5.6 Bribery risk 2
5.7 Anti-bribery control 2
5.8 Anti-Bribery Management System (ABMS) 2
6 Competence requirements for personnel who implement application review, review audit reports and make certification decisions (other personnel) 3
6.1 General 3
6.2 Concept of bribery 3
6.3 Organizational environment 3
Appendix A (informative) ABMS audit and certification knowledge 4
Reference 5
Foreword
This document is in accordance with the provisions of GB/T 1.1-2020 "Guidelines for Standardization Work Part 1.Structure and Drafting Rules of Standardization Documents"
Drafting.
This document is part 9 of GB/T 27021 "Requirements for Conformity Assessment Management System Audit and Certification Bodies". GB/T 27021 has
Publish the following 9 parts.
---Part 1.Requirements;
---Part 2.Environmental management system audit and certification capability requirements;
---Part 3.Requirements for quality management system audit and certification capabilities;
---Part 4.Sustainability management system audit and certification capability requirements for large-scale events;
---Part 5.Requirements for asset management system audit and certification capabilities;
---Part 6.Requirements for business continuity management system audit and certification capabilities;
---Part 7.Requirements for road traffic safety management system audit and certification capabilities;
---Part 9.Anti-bribery management system audit and certification capability requirements;
---Part 10.Occupational Health and Safety Management System Audit and Certification Ability Requirements.
The translation method used in this document is equivalent to the ISO /IEC TS17021-9.2016 "Requirements for Conformity Assessment Management System Audit and Certification Bodies"
Part 9.Anti-bribery management system audit and certification capability requirements".
Please note that some of the contents of this document may involve patents. The issuing agency of this document is not responsible for identifying patents.
This document was proposed and managed by the National Standardization Technical Committee for Certification and Accreditation (SAC/TC261).
Drafting organizations of this document. Shenzhen Institute of Standards and Technology, China National Accreditation Center for Conformity Assessment, Shenzhen Shenzhen Standards Promotion Association,
China Certification and Accreditation Association, Certification and Accreditation Technology Research Center of State Administration for Market Regulation, Alibaba Group, Beijing Zhongda Huayuan Certification
Center, Anhui Provincial Institute of Quality and Standardization, Standards Certification Service (Shanghai) Co., Ltd., Beijing Continental Aviation Star Quality Certification Center shares have
Co., Ltd., Hubei Institute of Standardization and Quality, Beijing Zaili Compliance Information Technology Co., Ltd., Shenzhen Brand Building Promotion Center, Fangyuan Standard
Chi Certification Group Co., Ltd., China Certification Center Co., Ltd., Shanghai Motor Vehicle Testing and Certification Technology Research Center Co., Ltd., Guangzhou Saibao
Certification Center Service Co., Ltd.
The main drafters of this document. Wen Lifeng, Yan Ru, Wang Xiaoya, Park Meishan, Su Yanjun, Yan Cheng, Hao Jing, Cai Yu, Wang Yu, Xie Guohui, Wang Zheng,
Luo Hui, Zhao Zhiwei, Ke Zhangyong, Chen Qiong, Hu Guohui, Qiu Xiaodong, Sun Xun, Yan Yijun, Chen Li, Xie Lingqun, Guo Ran.
Conformity assessment management system audit certification body requirements
Part 9.Anti-bribery management system review and
Certification ability requirements
1 Scope
This document specifies the specific competence requirements for personnel participating in the anti-bribery management system (ABMS) audit and certification process.
Supplement to the existing requirements of GB/T 27021.1.
2 Normative references
The contents of the following documents constitute the indispensable clauses of this document through normative references in the text. Among them, dated quotations
Only the version corresponding to that date is applicable to this document; for undated reference documents, the latest version (including all amendments) is applicable to
This document.
GB/T 27021.1-2017 Conformity Assessment Management System Audit and Certification Bodies Requirements Part 1.Requirements (ISO /IEC
17021-1.2015, IDT)
ISO 37001.2016 Anti-bribery management system requirements and guidelines for use (Anti-bribery management systems-
Requirementswithguidanceforuse)
3 Terms and definitions
The terms and definitions defined by ISO 37001 and GB/T 27021.1 apply to this document.
4 General competency requirements
The certification body shall determine the competence requirements for each certification function described in Table A.1 of GB/T 27021.1-2017.In determining these capabilities
When force requirements, the certification body should consider all the requirements of GB/T 27021.1, as well as the requirements specified in Chapter 5 and Chapter 6.
Note 1.Appendix A provides a summary of the competence requirements of personnel for specific certification functions.
Note 2.GB/T 19011 provides information on audit principles.
5 Competence requirements of the ABMS audit team
5.1 General
The personnel engaged in the ABMS audit should have certain abilities, including the general abilities described in GB/T 27021.1, understanding
The relationship between the requirements of ISO 37001 and these requirements, as well as the knowledge of ABMS described in 5.2~5.8.
Note. Each member of the audit team does not have to have the same ability, but the overall ability of the audit team needs to be sufficient to achieve the purpose of the audit.
5.2 The concept of bribery
5.2.1 The audit team should have knowledge related to the concept of bribery, including at least the following.
a) Direct and indirect payments;
b) Facilitation payment;
c) Non-financial benefits or benefits (such as benefits or opportunities provided to family members);
d) Conflict of interest.
5.2.2 The audit team should have knowledge of bribery risks related to third parties, including public officials, agents, consultants, subcontractors, and
Its family members or social relations, etc.
5.2.3 The audit team should have at least knowledge of bribery related to the following situations.
a) Personnel, recruitment, hiring and compensation;
b) Commercial activities;
c) travel, gifts and entertainment;
d) Donations and sponsorships;
e) Procurement and contracting;
f) Sales and marketing;
g) Manufacturing and supply chain;
h) outsourcing process;
i) Mergers and acquisitions.
5.2.4 The audit team should have knowledge about bribery risk points (red flags).
Note. The list of bribery risk points (red flags) can be obtained from the International Chamber of Commerce (ICC), the Organization for Economic Cooperation and Development (OECD) and the World Bank.
5.2.5 The audit team shall have control measures for preventing, detecting and responding to bribery, as well as relevant control measures related to the consequences of insufficient control measures or loss of control.
Knowledge.
5.3 Organizational environment
5.3.1 The audit team should have knowledge of the organization's operating environment, including those required by Chapter 4 of ISO 37001.2016.
5.3.2 The audit team should have the necessary knowledge and skills to independently conduct organization-related research, so as to identify and understand
Bribery allegations or matters, industry bribery risks, government interaction or degree of supervision and other related matters.
5.3.3 The audit team should have knowledge related to the organizational structure, such as mergers and acquisitions, joint ventures and investment tools.
5.4 Laws, regulations and other requirements
The audit team should have relevant knowledge to determine whether the organization’s compliance procedures are adequate and implemented. This procedure is used to identify and evaluate the team.
Whether the organization complies with applicable laws and regulations and other requirements of ABMS.
5.5 Bribery risk assessment and due diligence
The audit team should have the knowledge of how to implement the bribery risk assessment described in 4.5 of ISO 37001.2016, including various assessment methods and
Its limitations and difficulty, due diligence (see ISO 37001.2016, 8.2) and bribery risks associated with business partners (see
ISO 37001.2016,8.5) knowledge.
5.6 Bribery risk
The audit team should have the methods and skills related to the evaluation and control of bribery risks described in Chapter 7 and Chapter 8 of ISO 37001.2016.
5.7 Anti-bribery control
The audit team should have the knowledge and skills related to planning and evaluating anti-bribery control and investigating bribery.
5.8 Anti-Bribery Management System (ABMS)
The audit team should have the knowledge and skills related to the planning and implementation of ABMS or similar compliance management or internal control systems.
6 Competence requirements of personnel who implement application review, review audit reports and make certification decisions (other personnel)
6.1 General
Other personnel should have the general abilities described in GB/T 27021.1, understand the requirements of ISO 37001 and the relationship between these requirements.
Department, and the requirements of ABMS knowledge described in 6.2~6.3.
6.2 The concept of bribery
Other personnel should have knowledge about bribery concepts and risks.
6.3 Organizational environment
Other personnel should have knowledge of the organization’s operating environment, including those required by Chapter 4 of ISO 37001.2016.
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