Standards Development

Scope

This document provides guidelines for the competence management and personnel development of compliance management in an organization to positively influence outcomes related to the effectiveness of compliance management system and the needs and expectations of relevant stakeholders.

This document is applicable to compliance management competence management and personnel development in all organizations regardless of their type, size and nature of organizations. It does not add to, change or otherwise modify requirements for ISO 37301 or any other standards.

Purpose

This document is intended to provide guidance for competence management and personnel development required in compliance management activities of an organization, help an organization to determine the necessary competence of organization and personnel doing work under its control that affects its compliance management performance and target, ensure that these persons are competent with relevant knowledge, skills and experience, to positively affect personnel engagement and outcomes related to the effectiveness of compliance management and the needs and expectations of relevant interested parties, to achieve long-term sustainable success.

The compliance competence management and personnel development of an organization are facing to higher and more professional requirements, especially after the issue and application of ISO 37301 Compliance management systems – Requirements with guidance for use. As the core of each organization's organizational structure, business operation and compliance management system, compliance management competence management and personnel development are the key influencing factors for the effectiveness of an organization's compliance management activities and a long-term sustainable development and success. A growing number of organizations around the world have established, developed, implemented, evaluated, maintained and improved the compliance management system according to ISO 37301, and carry out compliance management activities according to the increasingly stringent regulatory requirements, in areas such as data security, anticorruption and anti-money laundering, which are in urgent needs of general criteria for compliance management competence management and personnel development to guide practical work. ISO 37301 does not give specific guidance to organizational competence management and personnel development, although have requirements in this respect mentioned in a general way. 

General guidelines for competence management and personnel development are key to ensuring the effective applications of ISO management systems in an organization. While ISO management system standards are widely used, different requirements to personnel's competence management and development were raised by organizations of different type, size, nature and industry with regard to the needs and expectations of the relevant parties. For example, the international standard ISO 10015 Quality management-Guidelines for competence management and people development was developed to provide general guidance for organizations to recognize and manage the personnel competence needs and carry out personnel development to meet the needs of related parties.

Compliance management have officially recognized as certified occupations in some European and American countries and China, which puts forward an urgent need for coordinated guidelines for compliance management competence management and personnel development. The United States, Netherland and other European countries have made some efforts in the competence management and development of compliance management personnel, and put forward the qualification indicators, standards as well as the methods to judge whether the knowledge, skills and practice of personnel meet the standards for the competence management and development of compliance management. China's administrative agencies has recognized compliance professionals as regulated professions. 

However, there has no coherent standard in the international scope that takes the competence management and personnel development of organizational compliance management as an ultimate goal. Therefore, it was also one of the reasons why there are necessity to develop this document. 

This document will specifically specify the criteria for the identification and evaluation of the competence management and personnel development needs of the organization, team and personnel in the compliance management system, which are essential to ensure an organization meets its compliance obligations; demonstrate itself and personnel’s commitment to compliance with relevant laws and regulations, industry codes and standards, corporate policies, and commitments to best practices, ethics and community expectations; integrate compliance management into an organization’ s business processes and its operational requirements such as financial, risk, quality, environmental management etc.; and develop a compliance culture.

This document will help to improve the overall efficiency, effectiveness and productivity of an organization's compliance management system, making an important contribution to enhancing organizational competitiveness, achieving strategic direction and expected results of the organization, and provide a global consensus framework for the management and development of compliance personnel's competence.