2-3 | Normative references and terms | 0 |
4 | General principles: objectivity, completeness and scalability, traceability | 0 |
5.1 | Evaluation methodology: effectiveness, three dimensions, one framework | 0 |
5.2 | Evaluation scales: five levels on three dimensions (Table 1) | 0 |
5.3 | Evaluation indicator framework (Table 2) | 0 |
6.1 | Planning and establishment of the compliance management system | 0 |
6.1.1 | Analysis of the context of the organization, including requirements of interested parties | 0 |
6.1.2 | Identification and update of compliance obligations | 0 |
6.1.3 | Determination of the scope of the compliance management system and assessment of compliance risk | 0 |
6.1.4 | Leadership and commitment of the governing body and top management | 0 |
6.1.5 | Implementation of compliance governance principles | 0 |
6.1.6 | Maintenance and promotion of compliance culture | 0 |
6.1.7 | Assignment of roles, responsibilities and authorities for personnel at different levels | 0 |
6.1.8 | Compliance policy and setting of objectives | 0 |
6.1.9 | Planning of actions to address risks and opportunities and the resources required | 0 |
6.2 | Implementation of the planned compliance management system | 0 |
6.2.1 | Operational actions to address risks and opportunities | 0 |
6.2.2 | Allocation of resources | 0 |
6.2.3 | Competences, capacity building and raising awareness | 0 |
6.2.4 | Employment process, rewards and disciplinary actions | 0 |
6.2.5 | Training | 0 |
6.2.6 | Internal and external communication | 0 |
6.2.7 | Establishment of a mechanism for raising concerns | 0 |
6.2.8 | Implementation of processes for investigation | 0 |
6.2.9 | Management of documented information | 0 |
6.3 | Evaluating performance and improvement of the compliance management system | 0 |
6.3.1 | Monitoring, measurement, analysis and evaluation of performance | 0 |
6.3.2 | Internal audit | 0 |
6.3.3 | Management review | 0 |
6.3.4 | Actions to address nonconformity and/or noncompliance and correction | 0 |
6.3.5 | Continual improvement in a planned manner | 0 |
7.1 | Objectives of the evaluation | 0 |
7.2 | Structured approach | 0 |
7.3 | Evaluators | 0 |
7.4 | Evaluation method | 0 |
7.4.1 | Design of the evaluation | 0 |
7.4.2 | Implementation of the evaluation | 0 |
7.4.3 | Reporting and response | 0 |
A | Annex A (informative): figure of the evaluation indicator framework | 0 |