Compliance Program Assessment Form
Evaluate the structure and effectiveness of your organization's compliance program.
Organization Name
*
Contact Person Full Name
*
First Name
Last Name
Contact Email Address
*
example@example.com
Role/Title of Contact Person
*
Compliance Program Structure
*
Rows
Not Implemented
Partially Implemented
Fully Implemented
Written policies and procedures
1
2
3
Designated compliance officer or committee
4
5
6
Regular compliance risk assessments
7
8
9
How frequently are compliance risks assessed in your organization?
*
Annually
Every 2-3 years
Only when issues arise
No formal risk assessment process
How would you rate the effectiveness of your compliance training and communication?
*
1
2
3
4
5
Which of the following reporting mechanisms are available for compliance concerns? (Select all that apply)
*
Anonymous hotline
Direct supervisor reporting
Online reporting system
Email or written report
Other
Monitoring and Auditing Activities
*
Rows
Never
Occasionally
Regularly
Internal audits of compliance
10
11
12
Review of compliance incidents
13
14
15
Updates to policies based on findings
16
17
18
How effective is your compliance program in preventing and detecting violations?
*
Not effective
1
2
3
4
Highly effective
5
1 is Not effective, 5 is Highly effective
Additional Comments or Suggestions
Submit Assessment
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