Compliance Self-Assessment Form
Evaluate your organization's compliance posture by honestly assessing the following areas. Please answer all questions to the best of your knowledge.
How confident are you in your organization's current compliance program?
*
1
2
3
4
5
Does your organization have a documented code of conduct?
*
Yes
No
Not Sure
How often are compliance trainings conducted for employees?
*
Annually
Semi-annually
Quarterly
Rarely/Never
Please rate the effectiveness of your compliance monitoring processes.
*
Not effective
1
2
3
4
Highly effective
5
1 is Not effective, 5 is Highly effective
How well does your organization manage compliance risks?
*
Poorly
1
2
3
4
Exceptionally well
5
1 is Poorly, 5 is Exceptionally well
Indicate your level of agreement with the following statements.
*
Rows
Strongly Disagree
Disagree
Neutral
Agree
Strongly Agree
Leadership prioritizes compliance.
1
2
3
4
5
Policies are regularly reviewed.
6
7
8
9
10
Employees understand compliance obligations.
11
12
13
14
15
Is there a process for reporting compliance concerns or violations?
*
Yes
No
Not Sure
How frequently are compliance audits performed?
*
Annually
Every 2-3 years
Rarely/Never
What is your biggest compliance challenge?
*
Please provide any additional comments or suggestions regarding compliance at your organization.
Submit Assessment
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