Standards Development

Scope

This document establishes principles and indicator system for compliance management effectiveness evaluation, specifies the evaluation criteria and data acquisition, evaluation process, the method to get the evaluation result, and the contents of evaluation report.

This document is applicable to the effectiveness evaluation activities of compliance management in all types of organizations, regardless of the type, size and nature.

Purpose

The purpose of this document is to provide rules for the effectiveness evaluation of compliance management, so as to assist organizations to evaluate the effectiveness of compliance management system and other compliance management activities, to deliver consistent evaluation results to support mutual understanding, to find inadequacies and areas for improvement of the compliance management. It will support the implementation of ISO 37301 requirements on effectiveness evaluation of compliance management system; on the other hand, it can also be implemented independently, serve the needs for effectiveness evaluation.

The reasons for developing this document include the following three aspects. Firstly, more and more organizations raised the needs for effectiveness evaluation of the compliance management. With the issuing and implementing of ISO 37301, organizations around the world have been establishing, developing, implementing, maintaining and improving a compliance management system, and obtaining certification. In the meanwhile, organizations and other interested parties realize that certification cannot meet their specific needs, e.g. the needs to know whether the organizations’ compliance management are effective, how to evaluate and how to show it to interest parties; regulatory and judicial departments want to know how to judge the status of an organization’s compliance management as effective, and so on. The core for these needs is compliance management effectiveness evaluation.

Secondly, it is necessary to provide more detailed rules for effectiveness evaluation of the compliance management, so as to support the implementing of ISO 37301. In 9.1.1 of ISO 37301, it requires organizations to evaluate the effectiveness of compliance management systems, but without detailed rules on this. In order to better facilitate the implementing of ISO 37301, it is necessary to develop an international consensus standard on effectiveness evaluation.

Thirdly, it is necessary to integrate fragmented practices and develop international rule on effectiveness evaluation of the compliance management. There already exists practices on effectiveness evaluation of the compliance management in international and country level, e.g. the World Bank, OECD, U.S. Department of Justice, China, Korea and so on. They proposed evaluation indicators/aspect for evaluation, evaluation criteria, methods to judge whether organization’s practice meeting the criteria and so on. These evaluation indicators/aspect for evaluation have some commons, and also with different emphases. Their final aim maybe not to deliver consistent evaluation results to support mutual understanding, to find inadequacies and areas for improvement of the compliance management. Consequently, it is necessary to develop this document to make the effectiveness evaluation of the compliance management consensus in international level.

This document will establish principles and indicator system for effectiveness evaluation of compliance management, specifies the evaluation criteria and data acquisition, evaluation process, the method to get the evaluation result, and the contents of evaluation report. It will benefit the development of compliance management standardization in TC 309 and the development of compliance management techniques. Organisations, related regulatory and judicial departments and other bodies will benefit from this document as it provides a world consensus framework for the compliance management effectiveness evaluation.