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
Some standard content:
ICS 03.120.20
CCSA00
National Standard of the People's Republic of China
GB/T27021.9—2021/IS0/IECTS17021-9:2016Conformity assessment-Requirements for bodies providing audit and certification of management systems-Part 9: Competence requirements for auditing and certification of anti-bribery management systems(IS0/IEC TS 17021-9 :2016.IDT)2021-04-30Release
State Administration for Market Regulation
National Administration of Standardization
2021-11-01Implementation
-riKacerKAca-
Normative reference documents
Terms and definitions
General competence requirements
ABMS core group competence requirements
Bribery concept
Organizational environment
Legal and regulatory and other requirements
Bribery risk assessment and due diligence
Bribery risk
Anti-bribery control
Anti-bribery management system (ABMS)
GB/T 27021.9—2021/IS0/IEC TS 17021-9:2016
Competence requirements for personnel who implement application review, review audit reports and make certification decisions (other personnel) 6
Concept of bribery
Red weaving environment
Appendix A (informative)
References
Knowledge of nuclear and certification in ABVS
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GB/T 27021.9—2021/1S0/IEC TS 17021-9:2016Foreword
This document is drafted in accordance with the provisions of GB/T1.12020% Guidelines for standardization work "Part 1: Structure and drafting rules for standardization documents".
This document is published for GB/T27021 Conformity Assessment
in the following 9 parts:
—Part 1. Requirements;
Part 9 of "Requirements for Management System Audit and Certification Bodies". GB/T27021 has been updated to Part 2: Competence requirements for auditing and certifying environmental management systems; Part 3: Competence requirements for auditing and certifying quality management systems; Part 4: Competence requirements for auditing and certifying large-scale event sustainability management systems; Part 5: Competence requirements for auditing and certifying asset management systems; Part 6: Competence requirements for auditing and certifying business continuity management systems; Part 7: Competence requirements for auditing and certifying road traffic safety management systems; Part 9: Competence requirements for auditing and certifying anti-bribery management systems; Part 10: Competence requirements for auditing and certifying occupational health and safety management systems. This document uses the translation method equivalent to IS0/IECTS170219:2016≤Requirements for auditing and certifying bodies in conformity assessment systems Part 9: Competence requirements for auditing and certifying anti-bribery management systems. Please note that some of the contents of this document may involve patents. The issuing agency of this document does not assume the responsibility for identifying patents. This document was proposed and managed by the National Technical Committee for Certification and Accreditation Standardization (SAC/TC261). The drafting units of this document are: Shenzhen Institute of Standards and Technology, China National Certification and Accreditation Center for Conformity Assessment, Shenzhen Standard Promotion Association, China Certification and Accreditation Association, Certification and Accreditation Technology Research Center of the State Administration for Market Regulation, Alibaba Group, Beijing Zhongda Huayuan Certification Center, Anhui Quality and Standardization Research Institute, Standard Certification Service (Hai) Co., Ltd., Beijing Renlu Hangxing Quality Certification Center Co., Ltd., Hubei Standardization and Quality Research Institute, Beijing Zailihexin General Technology Co., Ltd., Shenzhen Brand Building Promotion Center, Fangyuan Mark Certification Group Co., Ltd., Huaxia Certification Center Co., Ltd., Shanghai Motor Vehicle Inspection and Certification Technology Research Center Co., Ltd., and Guangzhou CESI Certification Center Service Co., Ltd.
The main drafters of this document: Wen Lifeng, Yan Ru, Wang Xiaoya, Park Mi-sun, Su Yanjun, Yan Cheng, Hao Jing, Cai Yu, Wang Yu, Xie Guohui, Tu Zheng, Luo Hui, Zhao Zhiwei, Ke Zhangyong, Chen Qiong, Hu Guohui, Qiu Xiaoer, Sun Xun, Yan Yijun, Chen Li, Xie Lingqun, Guo Ran, -riKaeerkAca-
GB/T 27021.9—2021/1S0/IEC TS 17021-9:2016 Introduction
This document is a supplement to GB/T 27021.1, especially clarifying the personnel competence requirements in the certification process as described in Appendix A of GB/T 27021.12017.
The guiding principles of Chapter 4 of GB/T27021.1-2017 are the basis for the requirements of this document: the certification body has corresponding responsibilities to the relevant parties (including the customers of the certification body and the customers of the organizations whose management systems are certified). Ensure that only auditors who have been proven to have the corresponding capabilities can implement the audit of the anti-bribery management system (AMS). The purpose of this document is to enable all ABMS auditors and other personnel who perform certification functions to have the general capabilities described in GBT27021.1 and the specific capabilities of the ABMS described in this document. For each ABMS audit application, the certification body shall identify the capabilities required for the specific audit team. rrKaeerkAca
1Scope
GB/T27021.9—2021/1S0/IECTS17021-9:2016Requirements for audit and certification bodies of management systems
Conformity assessment
Part 9: Competence requirements for audit and certification of anti-bribery management systems
This document defines the specific competence requirements for personnel involved in the audit and certification process of the anti-bribery management system (A13MS), and is a supplement to the existing requirements of GB/T27021.1.
2Normative references
The contents of the following documents constitute essential clauses of this document through normative references in the text. Among them, for the referenced documents with a date, only the version corresponding to the Phase II applies to this document: for the referenced documents without a Phase II, the latest version (including all amendments) applies to this document.
GB/T 27021.1-2017 Requirements for nuclear certification bodies in conformity assessment management systems Part 1: Requirements (ISO/IEC17021-1.2015.1DT)
Anti-bribery management system requirements and guidance for use (Anti-bribery management systems IS37001:2016
Requirements with guidance for use) 3 Terms and definitions
1S0) The terms and definitions defined in ISO37001 and GB/T 27021.1 apply to this document. 4 General competence requirements
The certification body shall determine the competence requirements for each certification function as described in Table A1 of CB/T 27021.12017. In determining these competence requirements, the certification body shall consider the full requirements of GB/T 27021.1, as well as the requirements specified in Chapters 5 and 6. Note 1: Appendix A provides a summary of the competence requirements for personnel for specific certification functions. Note 2: GB/T 19011 provides information on audit principles. 5 Competence requirements for ABMS audit teams
5.1 General
Personnel engaged in ABMS audits shall have certain competences, including the general competences described in CB/T 27021.1, understanding of the requirements of ISO 37001 and the relationship between these requirements, and knowledge of the A13MS aspects described in 5.2 to 5.8. Note: Each member of the audit team does not have to have the same competences, but the overall competence of the audit team must be sufficient to achieve the audit objectives. 5.2 Bribery Concepts
5.2.1 The audit team should have relevant knowledge of various bribery concepts, including at least the following:1
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GB/T 27021.9—2021/1S0/IEC TS 17021-9:2016a) Direct and indirect payments:
b) Facilitation payments:
c) Non-financial benefits or advantages (such as benefits or opportunities provided to family members): d) Conflict of interest.
5.2.2 The audit team should have knowledge of the bribery risks related to third parties, including public officials, agents, consultants, subcontractors, and their family members or social relations. 5.2.3 The audit team should have at least relevant knowledge of the following situations: a) personnel, recruitment, employment and remuneration; b) business activities; travel, gifts and entertainment; gifts and sponsorship; procurement and contracting; sales and marketing; manufacturing and supply chain; h) outsourcing processes; i) mergers and acquisitions. 5.2.4 The audit team should have knowledge of bribery risk points (red flags). Note: Lists of strategic risk points (red flags) are available from the International Chamber of Commerce (ICC), the Organization for Economic Co-operation and Development (OF(I)) and the World Bank. 5.2.5 The audit team should have knowledge of the control measures used to prevent, detect and respond to bribery and the consequences of inadequate or uncontrolled controls.
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 IS037001:2016. 5.3.2 The audit team should have the necessary knowledge and skills to independently conduct research related to the organization to identify and understand relevant issues, including recent bribery allegations or events, industry bribery risks, government interactions or levels of regulation. 5.3.3 The audit team should have knowledge of various organizational structures, such as mergers and acquisitions, joint ventures and investment vehicles. 5.4 Legal and other requirements
The audit team should have relevant knowledge to Determine whether the organization's compliance procedures for identifying and evaluating compliance with applicable legal and regulatory requirements and other requirements of the A13MS are adequate and implemented. 5.5 Bribery risk assessment and due diligence
The audit team should have knowledge of how to conduct a bribery risk assessment as described in 4.5 of IS037001:2016, including knowledge of various assessment methods and their limitations and difficulty, due diligence (see IS037001:2016, 8.2) and bribery risks associated with business partners (see IS037001:2016, 8.5). 5.6 Bribery risk
The audit team should have the methods and skills related to evaluating and controlling bribery risks as described in Chapters 7 and 8 of IS037001:2016. 5.7 Anti-bribery controls
The audit team should have knowledge and skills related to planning and evaluating anti-bribery controls 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 an ABMS or similar compliance management or internal control system: 2
-riKacerKAca-
GB/T 27021.9—2021/IS0/IEC TS 17021-9:2016 Competence requirements for personnel who conduct application review, review audit reports and make certification decisions (other personnel) 6.1 General
Other personnel should have the general capabilities described in GB/T 27021.1, understand the requirements of IS037001 and the relationship between these requirements, and the ABMS knowledge requirements described in 6.2~6.3 2 Bribery concepts
Other personnel should have knowledge related to various bribery concepts and risks. 6.3
Organizational environment
Other personnel should have knowledge of the relevant organizational operating environment, including the 3
rrKaeerkAca
GB/T27021.9—2021/IS0/IECTS17021-9:2016 Chapter 4
(Informative)
Knowledge of ABMS audit and certification
Table A.1 gives an overview of the knowledge required for audit and certification of the factory ABMS. It is informative because it only identifies the knowledge areas required for specific certification functions. The competence requirements for each certification function have been described in Chapters 1, 5 and 6. Table A.1 gives references to specific requirements.
Concept of Bribery
Organizational Environment
Legal and Regulations and Other Requirements
Bribery Risk Assessment and Due Diligence Training
Bribery Risk
Anti-Bribery Control
Anti-Bribery Management System (ABMS)
Knowledge of ABMS Audit and Certification
Certification Function
Review during Implementation to Confirm the Required Competencies of the Audit Team Select Audit Team Members and Determine the Time for Audit (See 6.1)
(See 6.2)
(See 6.3)
-rrKaeerkAc a-
Review the audit report and
make the certification decision
V(see 6.1)
V(see 6.2)
V(see 6.3)
China National Nuclear Corporation
V(see 5.1)
V(see 5.2)
(see 5.3)
V(5.4)
V(see 5.5)
(see 5.6)
V(see 5.7)
(5.8)
GB/T27021.9—2021/IS0/IEC TS 17021-9:2016 References
GB/T19011 Management System Audit Guide (GB/T190112013, IS019011:2011.IDT) L1
GB/T24353
Risk Management Principles and Implementation Guide
GB/T35770 Compliance Management System Guide (GB/T35770—2017.ISO19600:2014.IDT) L3_
[A (Good practicc guidance on internal control. cthics and compliance. OECD Rccommcndation of the Council for further comhating bribcry of forcign public officials in[E
international business 1ransactions (2oo9), Annex 1. Good practice guidance on inplementing specilic articles of the convention on combating bribery of foreign public officials in international business transactions. and Annex 2. Good practice guidance on internal controls. ethics, and compliance.OFCD
[6_ The integrated usc of management syatem standards, ISO handhook-riKacerKAca-
GB/T 27021.9-2021
Scan the code to the genuine service to
People's Republic of China
National Standard
Conformity assessment
Requirements for management system audit and certification bodies
Part 9: Anti-bribery management system audit and
Capability requirements
GB/T 27021. 9—2021/IS0/IEC TS 17021 8:2016 Published and distributed by China Standards Press
No. 2, West Hepingli Street, Chaoyang District, Beijing (100029) No. 16, Sanlihe North Street, Xicheng District, Beijing (100015) Website: spc.org.cn
Service hotline: 400-168-0010
2021 April edition
State number: 155066-1-67334
Copyright reserved
-rKaeerkca-
Infringements will be investigated3 The core team shall have at least relevant knowledge of bribery in the following situations: a) People, recruitment, hiring and remuneration; b) Business activities; travel, gifts and entertainment; gifts and sponsorship; procurement and contracting; sales and marketing; manufacturing and supply chain; h) Outsourcing processes; i) Mergers and acquisitions. 5.2.4 The audit team shall have relevant knowledge of bribery risk points (red flags). Note: Lists of strategic risk points (red flags) are available from the International Chamber of Commerce (ICC), the Organization for Economic Co-operation and Development (OF(I)) and the World Bank. 5.2.5 The audit team should have knowledge of the control measures used to prevent, detect and respond to bribery and the consequences of inadequate or uncontrolled controls.
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 IS037001:2016. 5.3.2 The audit team should have the necessary knowledge and skills to independently conduct research related to the organization to identify and understand relevant issues, including recent bribery allegations or events, industry bribery risks, government interactions or levels of regulation. 5.3.3 The audit team should have knowledge of various organizational structures, such as mergers and acquisitions, joint ventures and investment vehicles. 5.4 Legal and other requirements
The audit team should have relevant knowledge to Determine whether the organization's compliance procedures for identifying and evaluating compliance with applicable legal and regulatory requirements and other requirements of the A13MS are adequate and implemented. 5.5 Bribery risk assessment and due diligence
The audit team should have knowledge of how to conduct a bribery risk assessment as described in 4.5 of IS037001:2016, including knowledge of various assessment methods and their limitations and difficulty, due diligence (see IS037001:2016, 8.2) and bribery risks associated with business partners (see IS037001:2016, 8.5). 5.6 Bribery risk
The audit team should have the methods and skills related to evaluating and controlling bribery risks as described in Chapters 7 and 8 of IS037001:2016. 5.7 Anti-bribery controls
The audit team should have knowledge and skills related to planning and evaluating anti-bribery controls 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 an ABMS or similar compliance management or internal control system: 2
-riKacerKAca-
GB/T 27021.9—2021/IS0/IEC TS 17021-9:2016 Competence requirements for personnel who conduct application review, review audit reports and make certification decisions (other personnel) 6.1 General
Other personnel should have the general capabilities described in GB/T 27021.1, understand the requirements of IS037001 and the relationship between these requirements, and the ABMS knowledge requirements described in 6.2~6.3 2 Bribery concepts
Other personnel should have knowledge related to various bribery concepts and risks. 6.3
Organizational environment
Other personnel should have knowledge of the relevant organizational operating environment, including the 3
rrKaeerkAca
GB/T27021.9—2021/IS0/IECTS17021-9:2016 Chapter 4
(Informative)
Knowledge of ABMS audit and certification
Table A.1 gives an overview of the knowledge required for audit and certification of the factory ABMS. It is informative because it only identifies the knowledge areas required for specific certification functions. The competence requirements for each certification function have been described in Chapters 1, 5 and 6. Table A.1 gives references to specific requirements.
Concept of Bribery
Organizational Environment
Legal and Regulations and Other Requirements
Bribery Risk Assessment and Due Diligence Training
Bribery Risk
Anti-Bribery Control
Anti-Bribery Management System (ABMS)
Knowledge of ABMS Audit and Certification
Certification Function
Review during Implementation to Confirm the Required Competencies of the Audit Team Select Audit Team Members and Determine the Time for Audit (See 6.1)
(See 6.2)
(See 6.3)
-rrKaeerkAc a-
Review the audit report and
make the certification decision
V(see 6.1)
V(see 6.2)
V(see 6.3)
China National Nuclear Corporation
V(see 5.1)
V(see 5.2)
(see 5.3)
V(5.4)
V(see 5.5)
(see 5.6)
V(see 5.7)
(5.8)
GB/T27021.9—2021/IS0/IEC TS 17021-9:2016 References
GB/T19011 Management System Audit Guide (GB/T190112013, IS019011:2011.IDT) L1
GB/T24353
Risk Management Principles and Implementation Guide
GB/T35770 Compliance Management System Guide (GB/T35770—2017.ISO19600:2014.IDT) L3_
[A (Good practicc guidance on internal control. cthics and compliance. OECD Rccommcndation of the Council for further comhating bribcry of forcign public officials in[E
international business 1ransactions (2oo9), Annex 1. Good practice guidance on inplementing specilic articles of the convention on combating bribery of foreign public officials in international business transactions. and Annex 2. Good practice guidance on internal controls. ethics, and compliance.OFCD
[6_ The integrated usc of management syatem standards, ISO handhook-riKacerKAca-
GB/T 27021.9-2021
Scan the code to the genuine service to
People's Republic of China
National Standard
Conformity assessment
Requirements for management system audit and certification bodies
Part 9: Anti-bribery management system audit and
Capability requirements
GB/T 27021. 9—2021/IS0/IEC TS 17021 8:2016 Published and distributed by China Standards Press
No. 2, West Hepingli Street, Chaoyang District, Beijing (100029) No. 16, Sanlihe North Street, Xicheng District, Beijing (100015) Website: spc.org.cn
Service hotline: 400-168-0010
2021 4th Sichuan edition
State number: 155066-1-67334
Copyright reserved
-rKaeerkca-
Infringements will be investigated3 The core team shall have at least relevant knowledge of bribery in the following situations: a) People, recruitment, hiring and remuneration; b) Business activities; travel, gifts and entertainment; gifts and sponsorship; procurement and contracting; sales and marketing; manufacturing and supply chain; h) Outsourcing processes; i) Mergers and acquisitions. 5.2.4 The audit team shall have relevant knowledge of bribery risk points (red flags). Note: Lists of strategic risk points (red flags) are available from the International Chamber of Commerce (ICC), the Organization for Economic Co-operation and Development (OF(I)) and the World Bank. 5.2.5 The audit team should have knowledge of the control measures used to prevent, detect and respond to bribery and the consequences of inadequate or uncontrolled controls.
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 IS037001:2016. 5.3.2 The audit team should have the necessary knowledge and skills to independently conduct research related to the organization to identify and understand relevant issues, including recent bribery allegations or events, industry bribery risks, government interactions or levels of regulation. 5.3.3 The audit team should have knowledge of various organizational structures, such as mergers and acquisitions, joint ventures and investment vehicles. 5.4 Legal and other requirements
The audit team should have relevant knowledge to Determine whether the organization's compliance procedures for identifying and evaluating compliance with applicable legal and regulatory requirements and other requirements of the A13MS are adequate and implemented. 5.5 Bribery risk assessment and due diligence
The audit team should have knowledge of how to conduct a bribery risk assessment as described in 4.5 of IS037001:2016, including knowledge of various assessment methods and their limitations and difficulty, due diligence (see IS037001:2016, 8.2) and bribery risks associated with business partners (see IS037001:2016, 8.5). 5.6 Bribery risk
The audit team should have the methods and skills related to evaluating and controlling bribery risks as described in Chapters 7 and 8 of IS037001:2016. 5.7 Anti-bribery controls
The audit team should have knowledge and skills related to planning and evaluating anti-bribery controls 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 an ABMS or similar compliance management or internal control system: 2
-riKacerKAca-
GB/T 27021.9—2021/IS0/IEC TS 17021-9:2016 Competence requirements for personnel who conduct application review, review audit reports and make certification decisions (other personnel) 6.1 General
Other personnel should have the general capabilities described in GB/T 27021.1, understand the requirements of IS037001 and the relationship between these requirements, and the ABMS knowledge requirements described in 6.2~6.3 2 Bribery concepts
Other personnel should have knowledge related to various bribery concepts and risks. 6.3
Organizational environment
Other personnel should have knowledge of the relevant organizational operating environment, including the 3
rrKaeerkAca
GB/T27021.9—2021/IS0/IECTS17021-9:2016 Chapter 4
(Informative)
Knowledge of ABMS audit and certification
Table A.1 gives an overview of the knowledge required for audit and certification of the factory ABMS. It is informative because it only identifies the knowledge areas required for specific certification functions. The competence requirements for each certification function have been described in Chapters 1, 5 and 6. Table A.1 gives references to specific requirements.
Concept of Bribery
Organizational Environment
Legal and Regulations and Other Requirements
Bribery Risk Assessment and Due Diligence Training
Bribery Risk
Anti-Bribery Control
Anti-Bribery Management System (ABMS)
Knowledge of ABMS Audit and Certification
Certification Function
Review during Implementation to Confirm the Required Competencies of the Audit Team Select Audit Team Members and Determine the Time for Audit (See 6.1)
(See 6.2)
(See 6.3)
-rrKaeerkAc a-
Review the audit report and
make the certification decision
V(see 6.1)
V(see 6.2)
V(see 6.3)
China National Nuclear Corporation
V(see 5.1)
V(see 5.2)
(see 5.3)
V(5.4)
V(see 5.5)
(see 5.6)
V(see 5.7)
(5.8)
GB/T27021.9—2021/IS0/IEC TS 17021-9:2016 References
GB/T19011 Management System Audit Guide (GB/T190112013, IS019011:2011.IDT) L1
GB/T24353
Risk Management Principles and Implementation Guide
GB/T35770 Compliance Management System Guide (GB/T35770—2017.ISO19600:2014.IDT) L3_
[A (Good practicc guidance on internal control. cthics and compliance. OECD Rccommcndation of the Council for further comhating bribcry of forcign public officials in[E
international business 1ransactions (2oo9), Annex 1. Good practice guidance on inplementing specilic articles of the convention on combating bribery of foreign public officials in international business transactions. and Annex 2. Good practice guidance on internal controls. ethics, and compliance.OFCD
[6_ The integrated usc of management syatem standards, ISO handhook-riKacerKAca-
GB/T 27021.9-2021
Scan the code to the genuine service to
People's Republic of China
National Standard
Conformity assessment
Requirements for management system audit and certification bodies
Part 9: Anti-bribery management system audit and
Capability requirements
GB/T 27021. 9—2021/IS0/IEC TS 17021 8:2016 Published and distributed by China Standards Press
No. 2, West Hepingli Street, Chaoyang District, Beijing (100029) No. 16, Sanlihe North Street, Xicheng District, Beijing (100015) Website: spc.org.cn
Service hotline: 400-168-0010
2021 4th Sichuan edition
State number: 155066-1-67334
Copyright reserved
-rKaeerkca-
Infringements will be investigated3 Organizational Environment
5.3.1 The audit team shall have knowledge of the organization's operating environment, including those required by IS037001:2016 Chapter 4. 5.3.2 The audit team shall have the necessary knowledge and skills to independently conduct research related to the organization to identify and understand relevant issues, including recent bribery allegations or events, industry bribery risks, government interactions or levels of regulation. 5.3.3 The audit team shall have relevant knowledge of various organizational structures, such as mergers and acquisitions, joint ventures and investment vehicles. 5.4 Legal and Other Requirements
The audit team shall have relevant knowledge to determine whether the organization's compliance program is adequate and implemented. The program is used to identify and evaluate whether the organization complies with applicable legal and regulatory requirements and other requirements of the A13MS. 5.5 Bribery risk assessment and due diligence
The audit team should have knowledge of how to carry out the bribery risk assessment described in 4.5 of IS037001:2016, including knowledge of various assessment methods and their limitations and difficulty levels, due diligence (see IS037001:2016, 8.2) and bribery risks associated with business partners (see IS037001:2016, 8.5). 5.6 Bribery risk
The audit team should have the methods and skills related to evaluating and controlling bribery risks as described in Chapters 7 and 8 of IS037001:2016. 5.7 Anti-bribery controls
The audit team should have knowledge and skills related to planning and evaluating anti-bribery controls 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 an ABMS or similar compliance management or internal control system: 2
-riKacerKAca-
GB/T 27021.9—2021/IS0/IEC TS 17021-9:2016 Competence requirements for personnel who conduct application review, review audit reports and make certification decisions (other personnel) 6.1 General
Other personnel should have the general capabilities described in GB/T 27021.1, understand the requirements of IS037001 and the relationship between these requirements, and the ABMS knowledge requirements described in 6.2~6.3 2 Bribery concepts
Other personnel should have knowledge related to various bribery concepts and risks. 6.3
Organizational environment
Other personnel should have knowledge of the relevant organizational operating environment, including the 3
rrKaeerkAca
GB/T27021.9—2021/IS0/IECTS17021-9:2016 Chapter 4
(Informative)
Knowledge of ABMS audit and certification
Table A.1 gives an overview of the knowledge required for audit and certification of the factory ABMS. It is informative because it only identifies the knowledge areas required for specific certification functions. The competence requirements for each certification function have been described in Chapters 1, 5 and 6. Table A.1 gives references to specific requirements.
Concept of Bribery
Organizational Environment
Legal and Regulations and Other Requirements
Bribery Risk Assessment and Due Diligence Training
Bribery Risk
Anti-Bribery Control
Anti-Bribery Management System (ABMS)
Knowledge of ABMS Audit and Certification
Certification Function
Review during Implementation to Confirm the Required Competencies of the Audit Team Select Audit Team Members and Determine the Time for Audit (See 6.1)
(See 6.2)
(See 6.3)
-rrKaeerkAc a-
Review the audit report and
make the certification decision
V(see 6.1)
V(see 6.2)
V(see 6.3)
China National Nuclear Corporation
V(see 5.1)
V(see 5.2)
(see 5.3)
V(5.4)
V(see 5.5)
(see 5.6)
V(see 5.7)
(5.8)
GB/T27021.9—2021/IS0/IEC TS 17021-9:2016 References
GB/T19011 Management System Audit Guide (GB/T190112013, IS019011:2011.IDT) L1
GB/T24353
Risk Management Principles and Implementation Guide
GB/T35770 Compliance Management System Guide (GB/T35770—2017.ISO19600:2014.IDT) L3_
[A (Good practicc guidance on internal control. cthics and compliance. OECD Rccommcndation of the Council for further comhating bribcry of forcign public officials in[E
international business 1ransactions (2oo9), Annex 1. Good practice guidance on inplementing specilic articles of the convention on combating bribery of foreign public officials in international business transactions. and Annex 2. Good practice guidance on internal controls. ethics, and compliance.OFCD
[6_ The integrated usc of management syatem standards, ISO handhook-riKacerKAca-
GB/T 27021.9-2021
Scan the code to the genuine service to
People's Republic of China
National Standard
Conformity assessment
Requirements for management system audit and certification bodies
Part 9: Anti-bribery management system audit and
Capability requirements
GB/T 27021. 9—2021/IS0/IEC TS 17021 8:2016 Published and distributed by China Standards Press
No. 2, West Hepingli Street, Chaoyang District, Beijing (100029) No. 16, Sanlihe North Street, Xicheng District, Beijing (100015) Website: spc.org.cn
Service hotline: 400-168-0010
2021 4th Sichuan edition
State number: 155066-1-67334
Copyright reserved
-rKaeerkca-
Infringements will be investigated3 Organizational Environment
5.3.1 The audit team shall have knowledge of the organization's operating environment, including those required by IS037001:2016 Chapter 4. 5.3.2 The audit team shall have the necessary knowledge and skills to independently conduct research related to the organization to identify and understand relevant issues, including recent bribery allegations or events, industry bribery risks, government interactions or levels of regulation. 5.3.3 The audit team shall have relevant knowledge of various organizational structures, such as mergers and acquisitions, joint ventures and investment vehicles. 5.4 Legal and Other Requirements
The audit team shall have relevant knowledge to determine whether the organization's compliance program is adequate and implemented. The program is used to identify and evaluate whether the organization complies with applicable legal and regulatory requirements and other requirements of the A13MS. 5.5 Bribery risk assessment and due diligence
The audit team should have knowledge of how to carry out the bribery risk assessment described in 4.5 of IS037001:2016, including knowledge of various assessment methods and their limitations and difficulty levels, due diligence (see IS037001:2016, 8.2) and bribery risks associated with business partners (see IS037001:2016, 8.5). 5.6 Bribery risk
The audit team should have the methods and skills related to evaluating and controlling bribery risks as described in Chapters 7 and 8 of IS037001:2016. 5.7 Anti-bribery controls
The audit team should have knowledge and skills related to planning and evaluating anti-bribery controls 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 an ABMS or similar compliance management or internal control system: 2
-riKacerKAca-
GB/T 27021.9—2021/IS0/IEC TS 17021-9:2016 Competence requirements for personnel who conduct application review, review audit reports and make certification decisions (other personnel) 6.1 General
Other personnel should have the general capabilities described in GB/T 27021.1, understand the requirements of IS037001 and the relationship between these requirements, and the ABMS knowledge requirements described in 6.2~6.3 2 Bribery concepts
Other personnel should have knowledge related to various bribery concepts and risks. 6.3
Organizational environment
Other personnel should have knowledge of the relevant organizational operating environment, including the 3
rrKaeerkAca
GB/T27021.9—2021/IS0/IECTS17021-9:2016 Chapter 4
(Informative)
Knowledge of ABMS audit and certification
Table A.1 gives an overview of the knowledge required for audit and certification of the factory ABMS. It is informative because it only identifies the knowledge areas required for specific certification functions. The competence requirements for each certification function have been described in Chapters 1, 5 and 6. Table A.1 gives references to specific requirements.
Concept of Bribery
Organizational Environment
Legal and Regulations and Other Requirements
Bribery Risk Assessment and Due Diligence Training
Bribery Risk
Anti-Bribery Control
Anti-Bribery Management System (ABMS)
Knowledge of ABMS Audit and Certification
Certification Function
Review during Implementation to Confirm the Required Competencies of the Audit Team Select Audit Team Members and Determine the Time for Audit (See 6.1)
(See 6.2)
(See 6.3)
-rrKaeerkAc a-
Review the audit report and
make the certification decision
V(see 6.1)
V(see 6.2)
V(see 6.3)
China National Nuclear Corporation
V(see 5.1)
V(see 5.2)
(see 5.3)
V(5.4)
V(see 5.5)
(see 5.6)
V(see 5.7)
(5.8)
GB/T27021.9—2021/IS0/IEC TS 17021-9:2016 References
GB/T19011 Management System Audit Guide (GB/T190112013, IS019011:2011.IDT) L1
GB/T24353
Risk Management Principles and Implementation Guide
GB/T35770 Compliance Management System Guide (GB/T35770—2017.ISO19600:2014.IDT) L3_
[A (Good practicc guidance on internal control. cthics and compliance. OECD Rccommcndation of the Council for further comhating bribcry of forcign public officials in[E
international business 1ransactions (2oo9), Annex 1. Good practice guidance on inplementing specilic articles of the convention on combating bribery of foreign public officials in international business transactions. and Annex 2. Good practice guidance on internal controls. ethics, and compliance.OFCD
[6_ The integrated usc of management syatem standards, ISO handhook-riKacerKAca-
GB/T 27021.9-2021
Scan the code to the genuine service to
People's Republic of China
National Standard
Conformity assessment
Requirements for management system audit and certification bodies
Part 9: Anti-bribery management system audit and
Capability requirements
GB/T 27021. 9—2021/IS0/IEC TS 17021 8:2016 Published and distributed by China Standards Press
No. 2, West Hepingli Street, Chaoyang District, Beijing (100029) No. 16, Sanlihe North Street, Xicheng District, Beijing (100015) Website: spc.org.cn
Service hotline: 400-168-0010
2021 April edition
State number: 155066-1-67334
Copyright reserved
-rKaeerkca-
Infringements will be investigated7 Anti-bribery controls
The audit team should have the knowledge and skills related to planning and evaluating anti-bribery controls and investigating bribery. 5.8 Anti-bribery management system (ABMS)
The audit team should have the knowledge and skills related to planning and implementing an ABMS or similar compliance management or internal control system: 2
-riKacerKAca-
GB/T 27021.9—2021/IS0/IEC TS 17021-9:2016 Competence requirements for personnel who conduct application review, review audit reports and make certification decisions (other personnel) 6.1 General
Other personnel should have the general competence described in GB/T27021.1, understand the requirements of IS037001 and the relationship between these requirements, and the ABMS knowledge requirements described in 6.2~6.3 2 Bribery concepts
Other personnel should have knowledge related to various bribery concepts and risks. 6.3
Organizational environment
Other personnel should have knowledge of the relevant organizational operating environment, including the 3
rrKaeerkAca
GB/T27021.9—2021/IS0/IECTS17021-9:2016 Chapter 4Www.bzxZ.net
(Informative)
Knowledge of ABMS audit and certification
Table A.1 gives an overview of the knowledge required for audit and certification of the factory ABMS. It is informative because it only identifies the knowledge areas required for specific certification functions. The competence requirements for each certification function have been described in Chapters 1, 5 and 6. Table A.1 gives references to specific requirements.
Concept of Bribery
Organizational Environment
Legal and Regulations and Other Requirements
Bribery Risk Assessment and Due Diligence Training
Bribery Risk
Anti-Bribery Control
Anti-Bribery Management System (ABMS)
Knowledge of ABMS Audit and Certification
Certification Function
Review during Implementation to Confirm the Required Competencies of the Audit Team Select Audit Team Members and Determine the Time for Audit (See 6.1)
(See 6.2)
(See 6.3)
-rrKaeerkAc a-
Review the audit report and
make the certification decision
V(see 6.1)
V(see 6.2)
V(see 6.3)
China National Nuclear Corporation
V(see 5.1)
V(see 5.2)
(see 5.3)
V(5.4)
V(see 5.5)
(see 5.6)
V(see 5.7)
(5.8)
GB/T27021.9—2021/IS0/IEC TS 17021-9:2016 References
GB/T19011 Management System Audit Guide (GB/T190112013, IS019011:2011.IDT) L1
GB/T24353
Risk Management Principles and Implementation Guide
GB/T35770 Compliance Management System Guide (GB/T35770—2017.ISO19600:2014.IDT) L3_
[A (Good practicc guidance on internal control. cthics and compliance. OECD Rccommcndation of the Council for further comhating bribcry of forcign public officials in[E
international business 1ransactions (2oo9), Annex 1. Good practice guidance on inplementing specilic articles of the convention on combating bribery of foreign public officials in international business transactions. and Annex 2. Good practice guidance on internal controls. ethics, and compliance.OFCD
[6_ The integrated usc of management syatem standards, ISO handhook-riKacerKAca-
GB/T 27021.9-2021
Scan the code to the genuine service to
People's Republic of China
National Standard
Conformity assessment
Requirements for management system audit and certification bodies
Part 9: Anti-bribery management system audit and
Capability requirements
GB/T 27021. 9—2021/IS0/IEC TS 17021 8:2016 Published and distributed by China Standards Press
No. 2, West Hepingli Street, Chaoyang District, Beijing (100029) No. 16, Sanlihe North Street, Xicheng District, Beijing (100015) Website: spc.org.cn
Service hotline: 400-168-0010
2021 April edition
State number: 155066-1-67334
Copyright reserved
-rKaeerkca-
Infringements will be investigated7 Anti-bribery controls
The audit team should have the knowledge and skills related to planning and evaluating anti-bribery controls and investigating bribery. 5.8 Anti-bribery management system (ABMS)
The audit team should have the knowledge and skills related to planning and implementing an ABMS or similar compliance management or internal control system: 2
-riKacerKAca-
GB/T 27021.9—2021/IS0/IEC TS 17021-9:2016 Competence requirements for personnel who conduct application review, review audit reports and make certification decisions (other personnel) 6.1 General
Other personnel should have the general competence described in GB/T27021.1, understand the requirements of IS037001 and the relationship between these requirements, and the ABMS knowledge requirements described in 6.2~6.3 2 Bribery concepts
Other personnel should have knowledge related to various bribery concepts and risks. 6.3
Organizational environment
Other personnel should have knowledge of the relevant organizational operating environment, including the 3
rrKaeerkAca
GB/T27021.9—2021/IS0/IECTS17021-9:2016 Chapter 4
(Informative)
Knowledge of ABMS audit and certification
Table A.1 gives an overview of the knowledge required for audit and certification of the factory ABMS. It is informative because it only identifies the knowledge areas required for specific certification functions. The competence requirements for each certification function have been described in Chapters 1, 5 and 6. Table A.1 gives references to specific requirements.
Concept of Bribery
Organizational Environment
Legal and Regulations and Other Requirements
Bribery Risk Assessment and Due Diligence Training
Bribery Risk
Anti-Bribery Control
Anti-Bribery Management System (ABMS)
Knowledge of ABMS Audit and Certification
Certification Function
Review during Implementation to Confirm the Required Competencies of the Audit Team Select Audit Team Members and Determine the Time for Audit (See 6.1)
(See 6.2)
(See 6.3)
-rrKaeerkAc a-
Review the audit report and
make the certification decision
V(see 6.1)
V(see 6.2)
V(see 6.3)
China National Nuclear Corporation
V(see 5.1)
V(see 5.2)
(see 5.3)
V(5.4)
V(see 5.5)
(see 5.6)
V(see 5.7)
(5.8)
GB/T27021.9—2021/IS0/IEC TS 17021-9:2016 References
GB/T19011 Management System Audit Guide (GB/T190112013, IS019011:2011.IDT) L1
GB/T24353
Risk Management Principles and Implementation Guide
GB/T35770 Compliance Management System Guide (GB/T35770—2017.ISO19600:2014.IDT) L3_
[A (Good practicc guidance on internal control. cthics and compliance. OECD Rccommcndation of the Council for further comhating bribcry of forcign public officials in[E
international business 1ransactions (2oo9), Annex 1. Good practice guidance on inplementing specilic articles of the convention on combating bribery of foreign public officials in international business transactions. and Annex 2. Good practice guidance on internal controls. ethics, and compliance.OFCD
[6_ The integrated usc of management syatem standards, ISO handhook-riKacerKAca-
GB/T 27021.9-2021
Scan the code to the genuine service to
People's Republic of China
National Standard
Conformity assessment
Requirements for management system audit and certification bodies
Part 9: Anti-bribery management system audit and
Capability requirements
GB/T 27021. 9—2021/IS0/IEC TS 17021 8:2016 Published and distributed by China Standards Press
No. 2, West Hepingli Street, Chaoyang District, Beijing (100029) No. 16, Sanlihe North Street, Xicheng District, Beijing (100015) Website: spc.org.cn
Service hotline: 400-168-0010
2021 4th Sichuan edition
State number: 155066-1-67334
Copyright reserved
-rKaeerkca-
Infringements will be investigated8）
GB/T27021.9—2021/IS0/IEC TS 17021-9:2016References
GB/T19011Management System Audit Guide (GB/T190112013,IS019011:2011.IDT)L1
GB/T24353
Risk Management Principles and Implementation Guide
GB/T35770Compliance Management System Guide (GB/T35770—2017.ISO19600:2014.IDT)L3_
[A (Good practicc guidance on internal control. cthics and compliancc. OECD Rccommcndation of the Council for further comhating bribcry of forcign public officials in[E
international business 1ransactions (2oo9), Annex 1. Good practice guidance on inplementing specific articles of the convention on combating bribery of foreign public officials in international business transactions. and Annex 2. Good practice guidance on internal controls. ethics, and compliance.OFCD
[6_ The integrated usc of management syatem standards, ISO handhook-riKacerKAca-
GB/T 27021.9-2021
Code scan the genuine service to
People's Republic of China
National standard
Conformity assessment
Requirements for management system audit and certification bodies
Part 9: Anti-bribery management system audit and
Competence requirements
GB/T 27021. 9—2021/IS0/IEC TS 17021 8:2016 Published and distributed by China Standards Press
No. 2, West Hepingli Street, Chaoyang District, Beijing (100029) No. 16, Sanlihe North Street, Xicheng District, Beijing (100015) Website: spc.org.cn
Service hotline: 400-168-0010
2021 4th Sichuan edition
State number: 155066-1-67334
Copyright reserved
-rKaeerkca-
Infringements will be investigated8）
GB/T27021.9—2021/IS0/IEC TS 17021-9:2016References
GB/T19011Management System Audit Guide (GB/T190112013,IS019011:2011.IDT)L1
GB/T24353
Risk Management Principles and Implementation Guide
GB/T35770Compliance Management System Guide (GB/T35770—2017.ISO19600:2014.IDT)L3_
[A (Good practicc guidance on internal control. cthics and compliancc. OECD Rccommcndation of the Council for further comhating bribcry of forcign public officials in[E
international business 1ransactions (2oo9), Annex 1. Good practice guidance on inplementing specific articles of the convention on combating bribery of foreign public officials in international business transactions. and Annex 2. Good practice guidance on internal controls. ethics, and compliance.OFCD
[6_ The integrated usc of management syatem standards, ISO handhook-riKacerKAca-
GB/T 27021.9-2021
Code scan the genuine service to
People's Republic of China
National standard
Conformity assessment
Requirements for management system audit and certification bodies
Part 9: Anti-bribery management system audit and
Competence requirements
GB/T 27021. 9—2021/IS0/IEC TS 17021 8:2016 Published and distributed by China Standards Press
No. 2, West Hepingli Street, Chaoyang District, Beijing (100029) No. 16, Sanlihe North Street, Xicheng District, Beijing (100015) Website: spc.org.cn
Service hotline: 400-168-0010
2021 April edition
State number: 155066-1-67334
Copyright reserved
-rKaeerkca-
Infringements will be investigated
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