Legal Compliance Techniques Assessment Form
Evaluate your organization's current compliance practices, technique maturity, and improvement priorities.
Which department or team is completing this assessment?
*
How would you rate the overall maturity of your organization's legal compliance program?
*
1
2
3
4
5
To what extent are the following legal compliance techniques implemented in your area?
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Rows
Not Implemented
Partially Implemented
Fully Implemented
Written compliance policies
1
2
3
Regular compliance training
4
5
6
Compliance risk assessments
7
8
9
Incident reporting mechanisms
10
11
12
Periodic compliance audits
13
14
15
How frequently are compliance audits conducted?
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Annually
Semi-annually
Quarterly
As needed
Please indicate your level of agreement with the following statements about compliance culture:
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Rows
Strongly Disagree
Disagree
Neutral
Agree
Strongly Agree
Management supports compliance initiatives
16
17
18
19
20
Employees are aware of compliance obligations
21
22
23
24
25
Non-compliance is addressed promptly
26
27
28
29
30
Resources are available for compliance activities
31
32
33
34
35
Which area requires the most improvement in your compliance program?
*
Please Select
Policy Development
Training & Awareness
Risk Assessment
Incident Reporting
Audit & Monitoring
Other
How effective are your current compliance training programs?
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Not Effective
1
2
3
4
Highly Effective
5
1 is Not Effective, 5 is Highly Effective
How confident are you in your organization's ability to identify and address compliance risks?
*
Not Confident
1
2
3
4
Very Confident
5
1 is Not Confident, 5 is Very Confident
What is your top priority for improving legal compliance over the next year?
Additional comments or suggestions regarding compliance techniques (optional):
Submit Assessment
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