T/XSHG 0001-2023 Active Group standards

T/XSHG 0001-2023 Guidelines for evaluating the maturity of corporate compliance construction

Publish Date: 2023-10-24 Implement Date: 2023-10-25 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/XSHG 0001-2023

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: 2023-10-24

Implement Date: 2023-10-25

Scope

Scope: This standard provides guidance on the basic requirements, evaluation process, evaluation content, and application of results involved in the evaluation of the maturity of enterprise compliance construction. This standard is applicable to the evaluation of the maturity of enterprise internal compliance construction activities; Main technical content: This Guidelines mainly conducts maturity evaluations of the seven basic links of the enterprise compliance management system, including whether the leadership attaches importance to it, whether the organization is sound, whether the system is implemented, whether compliance training is carried out, whether the risk assessment is comprehensive, whether there is control over business partners, and whether the violation reports and investigations are effective. There are a total of 70 specific scoring indicators, each of which specifies the scoring explanation and supporting materials. In addition, this Guidelines quantifies the evaluation results, formulates a scoring formula, and sets a score of 5 points for each indicator. After calculation, the maturity score of the evaluated units can be obtained, and finally matches the corresponding grades, including entry-level, initial-level, robust-level, enhanced-level, and mature-level. This Guidelines can be applied to the initial construction of the enterprise compliance system, the maturity evaluation of the compliance system after years of operation, and the guidance of public security organ police officers on the improvement of the compliance system of the involved enterprises.