T/CEEAS 003-2022 Active Group standards

T/CEEAS 003-2022 Guidelines for evaluating the effectiveness of an enterprise compliance management system

Publish Date: 2022-10-12 Implement Date: 2022-10-12 For services related to genuine standard inquiry, procurement, translation, and other related services in China, please Contact Us

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Basic Information

Standard Code: T/CEEAS 003-2022

Standard Type: Group standards

Standard Status: Active

is_force_gb: no

CCS Name: -

ICS Name: The comprehensive organization and management of the company (enterprise)

Publish Date: 2022-10-12

Implement Date: 2022-10-12

Scope

Scope: This document specifies the evaluation principles, evaluation content, evaluation process, and evaluation results for the effectiveness evaluation of an enterprise's compliance management system. This document is applicable to third-party evaluations of the effectiveness of an enterprise's compliance management system. Enterprises may also conduct self-evaluations based on this document. Main technical content: This standard serves as a guideline for enterprise compliance management and third-party evaluations. It proposes an evaluation index system for the effectiveness of an enterprise's compliance management system, covering five dimensions: compliance environment assessment, leadership and resource input, compliance systems and operational mechanisms, compliance culture, and performance evaluation and improvement. It also discusses the role of party building in enterprise compliance management and designs evaluation indicators. It clarifies the implementation procedures for the evaluation of the effectiveness of an enterprise's compliance management system, including rules, processes, and report grading. This document replaces T/CEEAS 002—2022, "Evaluation of the Effectiveness of an Enterprise's Compliance Management System". Compared with T/CEEAS 002—2022, in addition to structural adjustments and editorial changes, the main technical modifications are as follows: a) In terms of evaluation dimensions, the original seven dimensions have been revised and updated to propose five new evaluation dimensions: compliance environment assessment, leadership and resource input, compliance systems and operational mechanisms, compliance culture, and performance evaluation and improvement. Considering the important role of party building in the compliance management of state-owned enterprises or some non-state-owned enterprises, it is added as an additional evaluation indicator; b) Evaluation indicators have been supplemented in accordance with the "Central