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ISO 37001 audit checklist

ISO 37001 audit checklist

An ISO 37001 audit checklist is your go-to tool for evaluating anti-bribery management systems. It guides you through reviewing policies, identifying risks, and ensuring compliance with ISO 37001. This checklist helps organizations enhance transparency, reduce bribery risks, and maintain ethical standards.

Use this template
or download pdf
ISO 37001 audit checklist

An ISO 37001 audit checklist is your go-to tool for evaluating anti-bribery management systems. It guides you through reviewing policies, identifying risks, and ensuring compliance with ISO 37001. This checklist helps organizations enhance transparency, reduce bribery risks, and maintain ethical standards.

Use this template
or download pdf

About the ISO 37001 audit checklist

Ensuring compliance with anti-bribery management systems can be complex, especially when juggling multiple processes and regulations. An ISO 37001 audit checklist helps you simplify this task by providing a structured framework to assess your organization’s compliance with ISO 37001 standards. 

You can use this checklist to identify gaps, standardize audits, and ensure your team adheres to anti-bribery best practices. It’s an essential tool for compliance officers, auditors, and quality managers aiming to maintain integrity and reduce risks.

4 essential elements of an ISO 37001 audit checklist

An ISO 37001 audit checklist ensures your anti-bribery management system is compliant and thorough. Here are four key elements every checklist should include: 

  1. Audit scope and objectives: Define the purpose and focus of the audit. This ensures your team understands what areas to assess, such as policies, procedures, or third-party relationships, and keeps the process organized. 
  2. Compliance checkpoints: Include specific criteria to evaluate adherence to ISO 37001 standards, such as risk assessments, due diligence processes, or employee training. These checkpoints help you identify gaps and take corrective actions quickly. 
  3. Documentation and evidence: Provide space to record findings and attach supporting evidence, like photos or notes. This ensures transparency and creates a reliable record for internal reviews or external certifications. 
  4. Corrective actions and follow-ups: Add a section to document non-conformities and assign follow-up tasks. Tracking corrective actions improves accountability and ensures issues are resolved efficiently. 

By including these elements, you can structure your checklist to streamline audits, improve compliance, and reduce risks effectively. 

Best practices to get the most out of an ISO 37001 audit checklist

To optimize your ISO 37001 audit checklist, start by tailoring it to your organization’s specific needs. Include sections that align with your industry and focus on high-risk areas, such as vendor relationships or financial transactions. Customizing the checklist ensures it addresses your unique compliance challenges.

Train your team on how to use the checklist effectively. Emphasize the importance of documenting findings thoroughly and attaching evidence, such as notes or photos, to support compliance efforts. This improves accountability and makes audits more reliable. 

Regularly review and update the checklist to reflect changes in regulations or internal processes. Outdated checklists can lead to missed risks or non-conformities. 

Finally, use the checklist as a collaborative tool. Assign roles to team members and encourage open communication during audits. A well-implemented checklist enhances teamwork and ensures consistent compliance with ISO 37001 standards. 

Start your ISO 37001 audit today

Simplify your compliance process with the ISO 37001 audit checklist. Download it now to ensure thorough audits, identify risks, and maintain anti-bribery standards. Customize it to fit your organization’s needs, assign tasks to your team, and track progress effectively. Start using the template today to streamline audits and strengthen your compliance efforts.

Related categories

  • Risk management and compliance templates
  • General templates
  • ISO templates
Preview of the template
entity_item!!!
Policy and Commitment
Anti-bribery policy is documented and communicated
Top management demonstrates commitment to anti-bribery program
Bribery and corruption risks have been identified and assessed
Responsibilities and Controls
Roles and responsibilities for anti-bribery program are defined
Adequate resources are provided for the anti-bribery program
Adequate financial and accounting controls are in place
Third party due diligence procedures are documented
Training and Communication
Anti-bribery training program is in place
Training covers all relevant personnel
Anti-bribery program is communicated externally
Monitoring and Review
Periodic reviews of anti-bribery program effectiveness
Corrective actions are taken when issues are identified
Management review of anti-bribery program is conducted

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Frequently asked questions

Who should use an ISO 37001 audit checklist?

An ISO 37001 audit checklist is essential for compliance officers, internal auditors, and risk managers responsible for ensuring anti-bribery compliance. It’s particularly useful for organizations conducting internal audits, preparing for certification, or improving their anti-bribery management systems to reduce risks and maintain ethical business practices.

How can I identify bribery risks during an ISO 37001 audit?

To identify bribery risks, focus on high-risk areas such as third-party contracts, financial transactions, and employee training programs. Use a structured audit checklist to evaluate processes and policies, ensuring they meet ISO 37001 standards. Thorough documentation of findings helps you spot gaps and take corrective action effectively.

What challenges do organizations face in maintaining ISO 37001 compliance?

Common challenges include unclear policies, insufficient training, and lack of accountability in anti-bribery processes. These issues can lead to non-compliance and reputational damage. Regular audits, clear procedures, and assigning responsibilities can help overcome these challenges and strengthen your compliance efforts.

Why is ISO 37001 compliance important for businesses?

ISO 37001 compliance demonstrates your organization’s commitment to ethical practices and reduces the risk of bribery. It helps build trust with clients, partners, and stakeholders while protecting your business from legal and financial consequences. Compliance also strengthens your reputation and ensures long-term operational integrity.


This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.
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