Compliance inspection should follow the principles of comprehensiveness, fairness, compliance, operability, risk orientation, continuity and information confidentiality.
I. Principle of comprehensiveness
Compliance inspection should comprehensively and systematically review and evaluate the behaviors, activities and systems of enterprises, organizations or individuals to ensure that they meet the requirements of relevant laws and regulations, industry standards and social ethics in all aspects.
The principle of comprehensiveness requires that compliance inspection should not only aim at known compliance problems, but also carry out preventive inspection on potential compliance risks to avoid possible compliance problems in the future.
Second, the principle of compliance.
The purpose of compliance inspection is to confirm whether the behaviors, activities and systems of enterprises, organizations or individuals meet the requirements of laws, regulations, industry standards and social ethics. Therefore, compliance inspection should focus on compliance, evaluate the behavior of the inspected object, find the existing compliance problems, and put forward rectification opinions and suggestions to ensure that it meets the compliance requirements.
Third, the principle of operability.
Compliance inspection should be operable, that is, the inspection results should be clear and specific, which can guide the inspected object to carry out rectification. The compliance inspection report should include the compliance of the inspected object, existing problems, rectification suggestions and other contents, which is operable and helpful to the targeted rectification and improvement of the inspected object.
Fourth, the risk-oriented principle.
Compliance inspection should be risk-oriented, focusing on high-risk areas and links. For high-risk compliance issues, corresponding measures should be taken for risk prevention and control and risk management to avoid possible adverse effects on enterprises or organizations.
Verb (abbreviation of verb) continuity principle
Compliance inspection should be continuous. Not only should enterprises, organizations or individuals be inspected regularly, but also their rectification situation should be tracked and evaluated in time, and existing problems should be re-examined to ensure the effectiveness and sustainability of rectification measures.