T/CFIE 001-2023 Industrial enterprise compliance management guidelines

Scope

Scope: This document specifies the general requirements for industrial enterprises to establish, implement, evaluate, maintain, and improve their compliance management systems. This document applies to all industrial enterprises, regardless of their type, size, nature, or whether they are private, public, or non-profit, as well as to enterprises that provide services and products to industrial enterprises. Main technical content: All indicators are listed in accordance with this standard, and the definitions, interpretations, sub-items, and application methods of the indicators should be understood in conjunction with this standard. This effectiveness evaluation indicator is intended only for reference by corporate governance bodies, certification agencies, industry organizations, or relevant regulatory authorities when evaluating the effectiveness of an enterprise's compliance management. When evaluating, consideration should be given to the presence or absence of each indicator. If present, the strength or weakness of its effectiveness should also be considered. It is recommended that the evaluation results be graded, with scores above 800 indicating AAA level, 600 to 800 indicating AA level, and 500 to 600 indicating A level. If the effectiveness of compliance management falls below the A level standard, it is recommended that the enterprise conduct rectification in this regard. Given the complexity of the compliance management system and the rich content contained in each indicator, score evaluations should be used in conjunction with evaluation reports, which should specifically describe the presence or absence of relevant content construction, non-compliance or weak effectiveness content, reasons, and possible consequences, in order to facilitate the enterprise's rectification and compliance system construction.

Development Information

Related Standards