Free ISO 37001 Lead Implementer Exam Questions and Answers

During a quarterly review, the anti-bribery compliance function of Ostrel Pharma finds that three hospitality expenses above the approved threshold were paid for a hospital's procurement staff without the required pre-approval. The ABMS procedure was clear, and the finance team had processed the payments by mistake. What should the organisation do FIRST?

• AA. Take action to control and correct the nonconformity and deal with its consequences
• BB. Evaluate whether the cause of the missing approvals exists elsewhere and requires action to eliminate it
• CC. Review the effectiveness of the corrective action after it has been implemented

Ardent Mining plans to hire an agent to obtain operating permits from a provincial authority. The bribery risk assessment rates this relationship as more than low risk, and the agent asks for a success fee of 12% of the contract value. What should Ardent Mining do before signing the agreement?

• AA. Include an anti-bribery clause and a termination right in the agreement, and review the agent only if concerns arise
• BB. Carry out due diligence on the agent, covering its ownership, reputation and links to officials, and the fee's justification
• CC. Ask the agent to sign a copy of the organisation's code of conduct and sign the agreement on that basis

Tolvaine Logistics, a freight company that works with customs brokers and port agents in several countries, is preparing a sustainability report. It wants to show how its ABMS based on ISO 37001 contributes to Sustainable Development Goal 16 (Peace, justice and strong institutions). Which SDG 16 target does the ABMS support MOST directly?

• AA. Target 16.5: Substantially reduce corruption and bribery in all their forms
• BB. Target 16.3: Promote the rule of law at the national and international levels and ensure equal access to justice for all
• CC. Target 16.6: Develop effective, accountable and transparent institutions at all levels

Wexlow Construction has operated its ABMS for four months. An internal audit covering all ABMS processes has been completed, but no management review has yet been held. The Stage 2 certification audit is in three weeks. What should the lead implementer recommend?

• AA. Have top management conduct the management review and retain documented information on its results before the Stage 2 audit
• BB. Postpone the management review until after the Stage 2 audit so that it can consider the audit findings
• CC. Have the anti-bribery compliance function conduct the management review and send its conclusions to top management

Halvard Group has a head office and two business units. Unit B bids for public infrastructure contracts in a country with a high perceived level of corruption. The CEO suggests leaving Unit B out of the initial ABMS scope so that certification can be obtained sooner. What should the lead implementer advise?

• AA. Include Unit B in the scope and address its public tendering activities in the bribery risk assessment
• BB. Leave Unit B out of the scope and require its managers to confirm each year that they comply with the anti-bribery policy
• CC. Leave Unit B out of the scope and plan to extend the ABMS to it after the first surveillance audit

Krandel Foods is defining what its ABMS based on ISO 37001 will be designed to address. The legal team has listed several types of misconduct that have occurred in the food sector. Which of them falls within the scope of ISO 37001?

• AA. A Krandel warehouse manager embezzling company funds
• BB. A supplier paying a Krandel purchasing manager to be awarded a contract
• CC. Krandel agreeing prices with competitors in a regional market

Pellam Textiles already has a code of conduct, a gifts policy and an ethics hotline. Its top management has decided to implement an ABMS based on ISO 37001. How should the lead implementer begin the project?

• AA. Draft a new anti-bribery policy and procedures following the ISO 37001 clause structure
• BB. Run anti-bribery awareness training for all personnel on the existing gifts policy
• CC. Carry out a gap analysis of the existing practices against the ISO 37001 requirements

Alderwick Pharma has an ABMS based on ISO 37001. The compliance manager designed and runs the gifts and hospitality approval process, and the audit programme now schedules an internal audit of that process. Internal audit has a small team, and the compliance manager offers to carry out the audit herself because she knows the process best. What is the MOST appropriate response?

• AA. Assign an auditor from another function, or an external auditor, who has no responsibility for the process
• BB. Accept the offer and have the head of internal audit review her working papers before the report is issued
• CC. Accept the offer and ask top management to approve the findings before they are communicated

Teraco Engineering is planning its ABMS. Its bribery risk assessment rated public tenders in two countries as high risk. Top management asks the anti-bribery compliance function to propose an anti-bribery objective for the coming year that meets the planning requirements of ISO 37001. Which objective is the MOST suitable?

• AA. Have no bribery incidents in public tenders this year, with success confirmed by the business unit heads
• BB. Strengthen the anti-bribery culture across all regions and keep bribery risk as low as possible
• CC. Complete a bribery risk review of every high-risk tender before bid submission and report results quarterly

Brackenridge Logistics, a freight forwarder operating in 22 countries, is implementing an ABMS based on ISO 37001. Its sustainability team is drafting the annual report and wants to name the Sustainable Development Goal (SDG) that the ABMS supports most directly. Several managers suggest goals on economic growth or partnerships, because the ABMS covers customs brokers and other business associates. Which SDG should the report name?

• AA. SDG 8, Decent work and economic growth
• BB. SDG 16, Peace, justice and strong institutions
• CC. SDG 17, Partnerships for the goals