標(biāo)準(zhǔn)號：AS 3806-1998
中文標(biāo)準(zhǔn)名稱：合格性項目
英文標(biāo)準(zhǔn)名稱：Compliance programs
標(biāo)準(zhǔn)類型：A00
發(fā)布日期：1998/2/5 12:00:00
實(shí)施日期：1999/12/31 12:00:00
中國標(biāo)準(zhǔn)分類號：A00
適用范圍：This Standard sets out essential elements forestablishing, implementing and managing an effective compliance program within anorganization and provides guidance in using these elements. However, this Standard is aguide only and organizations should use the system best suited to their operations.The implementation of some aspects of this Standard may differ for smaller organizations,but compliance policy, commitment and responsibility apply regardless of the size of theorganization.This Standard is not intended to take precedence over, or overlap, other managementsystems such as ISO 9000, but to complement such systems by providing guidance indeveloping a program for compliance with laws and regulations.While this Standard describes a program that is intended to achieve compliance with thelaw, it may also be used more widely to assist an organization in complying with codes ofpractice and organizational standards. All may be dealt with in a similar manner, althoughsome flexibility may be necessary when addressing non-legal issues.Legal compliance is part of an organization’s overall risk management, to whichAS/NZS 4360 offers good guidance. However, like other areas of risk management, legalcompliance has its own characteristics and needs to be considered in the light ofapplicable legislation and the high standards for due diligence set by the courts. If thesestandards are not met, major operational problems can result. This means that, to anextent, legal compliance cannot always be handled under the same principles as can beapplied to other areas of risk management. The court’s requirements for ‘due diligence’defences have been set at a very high level, and reducing the standard of the precautionstaken, for any reason, can easily lead to a complete loss of defence, leaving companydirectors and managers exposed. This Standard indicates the methods found mostsatisfactory in securing proper management of legal risks.Organizational codes and ethics have been included in the overall term ‘compliance’,because the same standards apply to them as they do to legal compliance.