#JuevesDeIntegridad | Introducción al ISO 37001 Sistema de Gestión Antisoborno

Introduction to ISO 37001: Anti-Bribery Management Systems

Opening Remarks

• The conference begins with a warm welcome from Doménico Gamboa, who introduces the event titled "Thursday of Integrity" on October 10.

• The purpose of the conference is to provide a clear and practical introduction to ISO 37001, focusing on anti-bribery management systems aimed at enhancing institutional capabilities.

• Acknowledgment is given to Dr. Ana María Martínez Bern for her support, despite her absence due to scheduling conflicts.

Introduction of Key Speakers

• Doménico invites Dr. Marí Elisa Moreno, head of the Office of Integrity and Anti-Corruption at the Ministry of Justice and Human Rights, to speak.

• Dr. Moreno expresses gratitude towards Alejandra Rodríguez for leading the training session and emphasizes its importance for public entities in identifying bribery risks.

Conference Structure

• The inaugural block concludes as participants are informed that Alejandra Rodríguez will have 60 minutes for her presentation followed by a Q&A session.

Expert Presentation on ISO 37001

Speaker Background

• Alejandra Rodríguez is introduced as an expert with extensive qualifications including mechanical engineering and advanced studies in corporate social responsibility.

• She has led over 500 certification audits and significantly improved accreditation processes at national quality institutes.

Importance of Anti-Bribery Management Systems

• Alejandra highlights the significance of integrity frameworks within organizations, particularly in public sectors.

Conference Agenda Overview

• The presentation will cover four main topics:

• Benefits and global trends in anti-bribery management.

This structured approach provides clarity on key discussions while allowing easy navigation through timestamps for further exploration.

Overview of Anti-Bribery Management Trends

Current Trends in Anti-Bribery Management

• Discussion on the trends and actions taken by public and private organizations regarding anti-bribery management.

• Importance of understanding technical terms and definitions related to anti-bribery norms for proper interpretation.

• Overview of key components of the ISO 37001 standard, which many organizations are already familiar with or certified under.

Engagement in Anti-Bribery Systems

• Emphasis on the collective responsibility within organizations to contribute to anti-bribery management, not just the integrity office.

• Outline of a 60-minute session focusing on trends, definitions, and contributions to anti-bribery systems.

Impact of Corruption in Peru

Recognition of Corruption Issues

• Reflection on recent years where Peru faced significant challenges related to corruption recognition.

• Various institutions have highlighted the detrimental effects of corruption on nations, calling for solutions to mitigate bribery risks.

Economic Consequences of Corruption

• OECD estimates over $1 trillion paid in bribes annually; consequences include reduced quality of life and increased poverty.

• Discussion on how misallocated funds due to corruption hinder development opportunities in education and health sectors.

Peru's Response to Corruption

National Initiatives Against Bribery

• Acknowledgment that while economic costs are known, indirect costs can be more harmful, leading to inequality and low growth rates.

• Highlighting Peru's proactive response as one of the most visible and rapid among countries facing similar issues.

Adoption of ISO Standards

• Peru was the first country in its region to adopt ISO 37001 as a national standard for anti-bribery management.

• Growth statistics show an increase in certifications under ISO 37001 since its introduction, indicating organizational commitment against bribery.

Certification Trends Under ISO 37001

Growth in Certification Numbers

• Notable rise from five companies certified in 2018 to nearly 2,200 by last year under ISO 37001.

• Comparison with ISO 9001 shows rapid adoption rates for ISO 37001 within a shorter timeframe (6 years vs. nearly 30 years).

Implications for Organizations

• The increasing number of certifications reflects a desire among companies to differentiate themselves by reducing bribery risks.

ISO 37001: A Framework for Anti-Bribery Management

Importance of ISO 37001 in Reducing Bribery Risks

• The implementation of ISO 37001 does not completely eliminate bribery risks but significantly reduces them by imposing barriers against corrupt intentions.

• This management system actively combats corruption within organizations, reflecting a strong institutional response to integrity issues.

Sector-Specific Trends and Adoption

• The private sector, particularly construction, has seen heightened visibility regarding bribery issues, prompting a shift towards adopting anti-bribery measures.

• Public sector suppliers are increasingly seeking differentiation through trust-building instruments that align with anti-bribery initiatives.

Benefits of Implementing ISO 37001

• Organizations adopting ISO 37001 will map their risks, establish controls, and monitor their effectiveness to mitigate bribery involvement.

• Enhanced reputation is achieved as organizations demonstrate commitment to fighting corruption, fostering trust among stakeholders.

Impact on Competition and Investor Confidence

• By reducing the influence of bribery in commercial processes, competition remains fairer and more equitable.

• Investors gain confidence knowing their funds are placed in companies committed to transparency and ethical practices.

Legal Defense and Organizational Integrity

• In case of investigations related to bribery, having an established anti-bribery management system can serve as a defense mechanism for organizations.

• It demonstrates proactive measures taken to prevent bribery incidents while distancing leadership from potential misconduct.

Understanding the Roots of Bribery

• A symbiotic relationship exists between various aspects of organizational management that contribute to the emergence of bribery acts.

• Poor service quality or lack of transparency can lead users to consider bribing officials for better outcomes.

Transparency as a Deterrent Against Bribery

• High-quality services characterized by predictability and reliability reduce the likelihood of users resorting to bribes.

• Conversely, when transparency falters, individuals may feel compelled to engage in corrupt practices due to uncertainty about service outcomes.

Understanding Anti-Bribery Management Systems

The Role of Quality Management and Information Security

• Quality management and information security are crucial allies in combating bribery, as uncontrolled access to information can facilitate corrupt practices.

• Effective quality and information security management significantly enhance anti-bribery efforts by reducing opportunities for corruption.

Reducing Bribery Risks

• Implementing robust systems can lower the risk of bribery by at least 50%, as potential offenders may be deterred from engaging in corrupt activities.

• While complete eradication of bribery is unrealistic, effective management systems can minimize its occurrence to a manageable level.

Legal Framework Developments

• Recent years have seen significant advancements in legal frameworks supporting anti-bribery initiatives, including the Supreme Decree 044 which outlines a National Integrity Plan.

• This plan has led to various documents that detail practical implementations for public entities to adhere to anti-corruption regulations.

Public vs. Private Sector Responsibilities

• Bribery involves two parties; thus, both public and private sectors must engage in regulatory efforts against it.

• The introduction of Law 30424 established administrative consequences for legal entities involved in bribery, expanding beyond just penal repercussions.

Components of the National Integrity Plan

• The original National Integrity Plan comprises nine components aimed at enhancing transparency and accountability within organizations.

• Key elements include risk management, integrity policies, internal controls, communication strategies, training programs, and reporting channels.

Integration with ISO Standards

• The National Integrity Plan encourages the adoption of certifiable standards like ISO 37001 to strengthen its effectiveness through systematic implementation.

• Many organizations are aligning their integrity plans with ISO standards to ensure comprehensive compliance and certification processes.

National Integrity and Anti-Corruption Plan Overview

Distinction Between National Integrity Plan and Anti-Bribery Management System

• The National Integrity and Anti-Corruption Plan aims to address a broader range of offenses compared to the Anti-Bribery Management System, which focuses specifically on reducing bribery risks.

• The National Plan serves as an overarching framework, while the Anti-Bribery Management System is a specific component targeting bribery issues.

• Although the Anti-Bribery Management System has more detailed requirements than some aspects of the National Plan, it remains concentrated on anti-bribery topics.

• Both systems are interconnected; the Anti-Bribery Management System supports the implementation mechanisms outlined in the National Integrity Plan.

• Activities reported under both frameworks often overlap, indicating that they address similar concerns regarding integrity and corruption management.

Key Terms Related to Bribery

Definition of Bribery

• Bribery involves offering, promising, delivering, accepting, or soliciting any undue advantage—financial or non-financial—as an incentive for action or inaction contrary to legal obligations.

Business Partner Concept

• A business partner refers to any external entity with which an organization plans to establish a commercial relationship or exchange, not limited solely to sales transactions. Examples include suppliers and public sector entities like ministries or judicial bodies.

Conflict of Interest

• A conflict of interest arises when personal interests (financial, familial, political) could potentially interfere with objective decision-making within an organization. It does not require actual interference but highlights potential biases in judgment due to relationships with others involved in decision-making processes.

Due Diligence Process

• Due diligence is a process used to assess the nature and extent of bribery risks associated with operations, projects, activities, business partners, and personnel decisions within organizations. This evaluation helps inform risk management strategies effectively.

Risk Assessment for Personnel

• When hiring individuals who may be exposed to bribery risks based on their roles or interactions with stakeholders, organizations must conduct thorough background checks during due diligence processes to identify any previous misconduct that could indicate higher susceptibility to engaging in corrupt practices.

Understanding Risk Assessment and Due Diligence

The Importance of Due Diligence

• Due diligence is essential to identify individuals with a higher risk profile for bribery, guiding decisions on their hiring suitability.

• It involves analyzing key positions, suppliers, and business partners where decision-making can be complex due to potential risks.

Risk Evaluation Process

• Risk evaluation serves as the foundation for decision-making; all choices should consider associated risks.

• Decisions are often made intuitively based on perceived consequences and benefits, but formal risk assessment processes enhance clarity.

Treatment of Identified Risks

• When assessing bribery risks, organizations must decide whether to accept the risk or implement treatment options if it exceeds acceptable levels.

• High-risk situations may require additional analysis through due diligence to determine appropriate actions for risk mitigation.

Managing High-Risk Scenarios

• Companies may need to reconsider their objectives if risks remain high despite attempts at treatment; sometimes opting out of projects is necessary for reputation management.

• Evaluating cost-benefit ratios becomes crucial when deciding whether to continue with high-risk initiatives.

Implementing Controls and Monitoring Effectiveness

• Proposing initiatives to add controls is vital in managing identified risks; planning and evaluating these controls' effectiveness ensures they adequately reduce risk levels.

• Continuous monitoring is required post-treatment to ensure that residual risks remain within acceptable limits; this includes reassessing treatments if outcomes are unsatisfactory.

Key Terms in Risk Management

• The process involves not just applying treatments but also ensuring their effectiveness through ongoing analysis and adjustments until residual risks are acceptable.

• Follow-up measures like inspections and audits help verify that implemented strategies yield expected results without adverse performance indicators.

Overview of ISO 37001: Anti-Bribery Management Systems

Scope of ISO 37001

• ISO 37001 focuses exclusively on anti-bribery management systems, excluding other forms of fraud or competition-related offenses.

• Organizations across various sectors can adopt this standard regardless of size or profit orientation, particularly beneficial in heavily regulated environments.

Understanding the Context of Corruption Risks

The Role of Context in Corruption

• The context often allows for scenarios where bad intentions can arise, particularly in sectors like construction and customs that involve high regulation.

• Sectors with significant regulatory oversight are the first to implement ISO 37001, which focuses on anti-bribery management systems.

Integration with Other Standards

• ISO 37001 is related to ISO 37301, which emphasizes compliance management beyond just anti-bribery regulations.

• There is potential for integration with other standards such as ISO 9001 (quality), ISO 14001 (environmental management), and others, sharing many controls between them.

Structure of ISO 37001

• The structure of ISO 37001 resembles that of other standards like ISO 9001 and ISO 27000, making it familiar for organizations already using these frameworks.

• Key components include context identification, leadership roles, planning processes, support mechanisms, operational procedures, performance evaluation, and continual improvement.

Identifying Internal and External Factors

Understanding Organizational Context

• Organizations must identify internal and external issues relevant to their objectives to understand corruption risks effectively.

• Political, economic, market-related factors can trigger bribery scenarios; understanding these contexts is crucial for risk assessment.

Mapping Stakeholders

• Identifying stakeholders who may influence bribery risks is essential. This includes users and public entities expecting results from the organization.

• Mapping interactions with stakeholders helps reveal potential bribery scenarios based on those relationships.

Defining Scope in Anti-Bribery Management Systems

Strategic Decision-Making for Implementation

• Defining the scope involves selecting processes for implementing a management system strategically rather than attempting a full-scale rollout at once.

• Large organizations should consider phased implementation to manage complexity effectively while addressing high-risk areas first.

Risk Evaluation Criteria

• Decisions about scope should be informed by risk evaluations; processes showing significant reputational risks should be prioritized during implementation.

Anti-Bribery Management System Insights

Focus on Services and Risk Management

• The discussion emphasizes the importance of identifying services within an organization when addressing internal control, contrasting this with anti-bribery management systems that focus on risk assessment rather than just mission-critical processes.

• It is crucial to include high-risk support processes in the anti-bribery framework, ensuring a comprehensive approach to risk management.

Objectives of Anti-Bribery Systems

• The primary goals of an anti-bribery management system are to prevent, detect, and address bribery incidents, highlighting prevention as the most critical aspect. This proactive stance aims to mitigate potential bribery situations before they occur.

• Effective detection mechanisms are necessary for confirming bribery incidents once they arise, followed by appropriate responses including investigation and sanctions against those involved.

Risk Treatment and Control Measures

• The process involves formally documenting risk identification, prioritizing risks, evaluating existing controls' effectiveness, and proposing additional controls as needed for managing bribery risks. This structured approach ensures all potential threats are addressed adequately.

• Additional treatment measures require strong leadership and careful planning to implement effectively; these elements are essential for reducing unacceptable bribery risks within organizational processes.

Implementation Strategies

• Organizations must plan actions aimed at mitigating identified risks while also improving opportunities for enhancement; this includes assessing the cost and timeline associated with proposed measures. Monitoring compliance with these plans is vital for success.

• When addressing risks deemed unacceptable, organizations should introduce new control mechanisms specifically tailored to those areas while maintaining acceptable controls where applicable. This targeted approach helps streamline efforts in managing risk effectively.

Examples of Risk Management Practices

• Conducting due diligence on collaborators and business partners is essential prior to engagement; understanding profiles can help identify higher risks associated with potential bribery acts before contracts are finalized.

• Training employees about their responsibilities regarding integrity is crucial; well-informed staff can prevent or reduce instances of bribery through awareness of consequences tied to unethical behavior within the organization.

Importance of Information Security

• Implementing strict access controls—both digital and physical—is fundamental in preventing unauthorized information flow that could lead to bribery incidents; safeguarding sensitive data is a key component of an effective anti-bribery strategy.

• Utilizing audiovisual records can aid in detecting bribery acts if they occur; having documented evidence allows organizations not only to confront such issues but also serves as a deterrent against future occurrences by making individuals aware that their actions may be recorded.

User Awareness in Public Sector

• Ensuring users understand their rights and obligations can significantly reduce instances where individuals might resort to offering bribes due to misconceptions about their entitlements or duties; informed users are less likely to engage in corrupt practices out of ignorance or desperation.

Anti-Bribery Management Systems: Key Insights

Importance of Supervision and Auditing

• The risk of bribery can be minimized through effective supervision and auditing, emphasizing the need for verification of implementation rather than mere promises.

• Recognition of good performance is crucial when compliance with controls is evident, reinforcing positive behavior within management systems.

Addressing Non-compliance

• Systematic non-compliance with established protocols should lead to sanctions against poor performance, highlighting accountability in anti-bribery efforts.

• Organizations must evaluate risks associated with bribery and propose appropriate controls when risks are deemed unacceptable.

Resource Allocation for Implementation

• Securing resources, including hiring personnel who adhere to anti-bribery policies, is essential for effective implementation of management systems.

• Conducting due diligence on new hires is critical to avoid introducing individuals prone to bribery risks into the organization.

Documentation and Control Mechanisms

• All control mechanisms must be documented clearly in protocols and guidelines to ensure transparency and adherence within the organization.

• Protocols should cover various aspects such as planning control implementations, conducting due diligence, managing financial/non-financial controls, and handling gifts or donations.

Continuous Improvement and Monitoring

• If proposed treatments do not sufficiently reduce bribery risk levels, a special analysis may be required at higher management levels to reassess strategies.

• Establishing clear procedures for addressing concerns or allegations related to bribery is vital for maintaining integrity within the organization.

Performance Evaluation Processes

• A systematic approach involving monitoring, measurement, analysis, and evaluation ensures that all control mechanisms are functioning effectively.

• Trends in compliance must be analyzed using indicators; this includes planning audits as part of ongoing management practices.

Collective Responsibility in Anti-Bribery Efforts

• The responsibility for anti-bribery measures extends beyond integrity offices; it requires participation from all organizational members.

• Employees must recognize that defined controls are necessary tools designed to mitigate bribery risks rather than burdensome tasks.

Proactive Attitude Towards Information and Risk Management

Importance of Proactive Reporting

• A proactive attitude is essential for identifying risks related to conflicts of interest and threats to the management system. Any new risk or conflict that is not mapped should be reported immediately.

• The management system is dynamic and requires continuous input from all involved parties. It must be nourished with information to remain effective. Continuous reporting of unanticipated situations is crucial for analysis and integration into the system.

Utilizing Indicators for Improvement

• For those working in mature systems, understanding indicators and trends is vital; however, newcomers should also leverage available data effectively. Indicators are not merely decorative; they serve as tools for analysis and improvement.

• Analyzing trends helps identify which areas are performing well or poorly, allowing for root cause analysis and corrective measures to be proposed and implemented. Using indicators strengthens the overall system, making it a collective responsibility.

Decision-Making Based on Reports

• Leaders must make informed decisions based on reports regarding new risks or corrective actions related to underperforming indicators. Ignoring these reports can weaken the management system's integrity over time. Decisions should not be postponed; timely action is necessary for strengthening the system's resilience.

• Participation in training sessions enhances knowledge and commitment towards anti-bribery management systems, demonstrating dedication even amidst challenges like strikes or disruptions in attendance numbers. This engagement contributes positively to institutional integrity efforts.

Integrity as a Core Principle

• Personal integrity plays a critical role in ensuring the effectiveness of an anti-bribery management system; without individual commitment, vulnerabilities may arise within the framework leading to undesired outcomes. Maintaining high standards of transparency and integrity aligns with anti-bribery policies' objectives.

Addressing Weaknesses in Management Systems

• Common weaknesses observed include well-planned risk mapping but inadequate mechanisms for monitoring compliance with controls through inspections, supervision, and performance recognition/sanctioning processes—areas needing significant improvement across many institutions today.

• Strengthening follow-up systems using indicators can lead to behavioral changes within organizations since measurement influences actions significantly—highlighting that changing how we measure can transform how we act moving forward.

ISO Anti-Bribery Implementation: Effectiveness and Challenges

Evaluation of ISO Anti-Bribery Standards

• Alejandra inquires about studies evaluating the effectiveness of ISO anti-bribery standards, highlighting a lack of existing impact assessments.

• The speaker notes that organizations are required to conduct individual evaluations to assess compliance and performance indicators related to corruption management.

• Organizations should measure their performance through various indicators, such as incidence rates of conflicts of interest and market perceptions regarding integrity.

• Positive outcomes can be derived from internal studies where organizations gauge improvements in market perception concerning their integrity post-implementation.

• If there is no reduction in incident reports or improvement in market perception, it indicates potential issues within the implemented system.

Addressing Systemic Issues

• The speaker emphasizes that systems must not be static; they should actively improve organizational integrity and require ongoing evaluation.

• There is a need for continuous investigation into why certain systems fail to show improvement despite implementation efforts.

Risk Management Methodologies

• Discussion shifts towards risk management methodologies used by public institutions, emphasizing the importance of integrating various approaches without redundancy.

• The challenge arises when different entities adopt varying methodologies leading to potential overlaps and inefficiencies in risk management practices.

Integration Strategies for Risk Management

• The speaker suggests that organizations should aim for a unified risk management approach rather than multiple parallel systems which complicate processes.

• A strategic integration plan is recommended, allowing institutions time to merge methodologies effectively without rushing the process.

Implementation Timeline for ISO Anti-Bribery Standards

• Questions arise regarding the timeline for implementing ISO anti-bribery standards within an organization, including certification duration and subsequent steps post-certification.

• The speaker advises smaller organizations to implement all aspects at once, estimating a six to seven-month timeframe for completion before seeking certification.

Implementation Strategies for Anti-Bribery Management Systems

Importance of Phased Implementation

• The speaker emphasizes that pursuing a global project can be lengthy and risky, suggesting a phased approach to implementation to mitigate potential setbacks.

• It is recommended to start with a short scope, focusing on one or two core processes before gradually integrating support processes.

• Projects extending beyond 1.5 years are cautioned against due to increased risks associated with long-term implementations.

Leadership Commitment and Visibility

• The presentation materials will be shared via chat and email, ensuring participants have access to the information discussed.

• A key question arises regarding how to demonstrate high-level management's commitment to ISO standards beyond mere compliance.

• Recommendations include creating a leadership plan with initiatives that involve leaders in events reflecting their commitment to anti-bribery management systems.

Enhancing Communication from Leadership

• Active participation by top management in relevant events enhances visibility of their commitment, which may not always be apparent externally.

• Leaders should engage in scheduled communications and activities that signal their dedication, as this visibility is often lacking despite underlying commitment.

• A structured plan for leader involvement is proposed, emphasizing the need for regular engagement opportunities.

Defining Scope for Anti-Bribery Management Systems

• As the conference progresses towards closure, criteria for defining the scope of anti-bribery systems are discussed.

• Three main elements are highlighted: context analysis (political, economic), stakeholder identification (who impacts organizational goals), and risk level assessment (identifying high-risk processes).

Ensuring Sustainability Amid Staff Changes

• The discussion shifts towards maintaining system integrity despite staff turnover; it’s crucial that new personnel prioritize the established system.

• Key components such as mandatory compliance indicators and periodic performance evaluations help sustain focus on anti-bribery efforts regardless of personnel changes.

• Continuous monitoring through established trends ensures accountability within the organization’s anti-bribery framework.

This structured summary captures essential insights from the transcript while providing clear timestamps for reference.

Implementing Effective Management Systems

The Importance of Systematization in Leadership

• The responsibility of leadership includes implementing, generating indicators, evaluating trends, and proposing improvement actions. Without a systematic approach, these responsibilities can be neglected.

• When controls and indicators are not documented or established as part of the system, accountability diminishes. This leads to inconsistent practices where individuals may choose to ignore or alter processes based on personal preference.

Conclusion of the Conference

• The conference concluded with gratitude expressed towards Alejandra for her insights on ISO and anti-bribery management systems (ISO 37001), highlighting its significance in public service transparency.

• Over 900 participants remained engaged throughout the session, with an invitation to provide feedback through a satisfaction survey aimed at continuous improvement.

Community Engagement and Future Events

• A WhatsApp group was introduced for integrity judges to receive updates including videos, presentations from speakers, and information about upcoming conferences scheduled every Thursday of each month.