Compliance and Risk Toolkit

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Secure that your organization partners with the lines of business, Information Technology, Compliance and Risk Management, Audit Services, Legal, and Regulators to support business continuation based initiatives.

More Uses of the Compliance and Risk Toolkit:

  • Establish: conduct Compliance and Risk assessment activities.

  • Orchestrate: Compliance and Risk teams for privacy related operational activities.

  • Be accountable for providing leadership and guidance over the creation of your long term Compliance and Risk mitigation strategies.

  • Coordinate and facilitate Quality Improvement teams with a focus on quality, safety, Compliance and Risk mitigation.

  • Evaluate: data, facts, and analysis are foundational components of your Compliance and Risk Management approaches.

  • Secure that your organization holds responsibility for recruiting, developing and retaining high performing team dedicated to Quality Management, Compliance and Risk control monitoring and evaluation efforts.

  • Approach Compliance and Risk Management with a growth mindset and innovate using technologies Machine Learning, AI, automation, etc.

  • Audit: Information security Compliance and Risk Analysis.

  • Identify: Regulatory Compliance and Risk Management advisory services.

  • Ensure your organization understands Compliance and Risk Management requirements for supported system area.

  • Audit: Compliance and Risk Management.

  • Orchestrate: secure establishe comprehensive Compliance and Risk Management policies, practices, guidelines and procedures for your organization, subsidiaries and suppliers.

  • Direct: front office, back office, finance, technology, Compliance and Risk.

  • Be certain that your venture establishes comprehensive Compliance and Risk Management policies, practices, guidelines and procedures for your organization, subsidiaries and suppliers.

  • Maintain pertinent records necessary for Regulatory Compliance and Risk Management.

  • Create a Compliance and Risk matrix.

  • Control: Compliance and Risk Management framework and activities.

  • Contribute to the effective development of regulatory, Compliance and Risk Management Policies and Procedures.

  • Manage: biz op teams also focus on Risk Management by tying all your activities together with an overarching responsibility for Compliance and Risk mitigation across all your environments.

  • Control: implement GRC software platform for policy administration, Compliance and Risk Management.

  • Manage work with clients to implement or improve Compliance and Risk Management technologies.

  • Make sure that your organization supports the development, implementation and monitoring of a comprehensive enterprise Information security, Compliance and Risk Management program.

  • Gather and analyze data to support Compliance and Risk scenario development activities.

  • Translate technical Compliance and Risk Management terminology to non technical staff.


Save time, empower your teams and effectively upgrade your processes with access to this practical Compliance and Risk Toolkit and guide. Address common challenges with best-practice templates, step-by-step Work Plans and maturity diagnostics for any Compliance and Risk related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Compliance and Risk specific requirements:

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Compliance and Risk Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a Data Driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

  • Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 999 new and updated case-based questions, organized into seven core areas of Process Design, this Self-Assessment will help you identify areas in which Compliance and Risk improvements can be made.

Examples; 10 of the 999 standard requirements:

  1. How do you know that any Compliance and Risk Analysis is complete and comprehensive?

  2. How do you identify specific Compliance and Risk investment opportunities and emerging trends?

  3. Consider your own Compliance and Risk project, what types of organizational problems do you think might be causing or affecting your problem, based on the work done so far?

  4. Does the scope remain the same?

  5. Where can you go to verify the info?

  6. What intelligence do you gather?

  7. How difficult is it to qualify what Compliance and Risk ROI is?

  8. What activities does the governance board need to consider?

  9. How will you recognize and celebrate results?

  10. What is the overall talent health of your organization as a whole at senior levels, and for each organization reporting to a member of the Senior Leadership Team?

Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

  • The workbook is the latest in-depth complete edition of the Compliance and Risk book in PDF containing 994 requirements, which criteria correspond to the criteria in...

Your Compliance and Risk self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

  • The Self-Assessment Excel Dashboard; with the Compliance and Risk Self-Assessment and Scorecard you will develop a clear picture of which Compliance and Risk areas need attention, which requirements you should focus on and who will be responsible for them:

    • Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
    • Gives you a professional Dashboard to guide and perform a thorough Compliance and Risk Self-Assessment
    • Is secure: Ensures offline Data Protection of your Self-Assessment results
    • Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:


STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Compliance and Risk projects with the 62 implementation resources:

  • 62 step-by-step Compliance and Risk Project Management Form Templates covering over 1500 Compliance and Risk project requirements and success criteria:

Examples; 10 of the check box criteria:

  1. Cost Management Plan: Eac -estimate at completion, what is the total job expected to cost?

  2. Activity Cost Estimates: In which phase of the Acquisition Process cycle does source qualifications reside?

  3. Project Scope Statement: Will all Compliance and Risk project issues be unconditionally tracked through the Issue Resolution process?

  4. Closing Process Group: Did the Compliance and Risk project team have enough people to execute the Compliance and Risk project plan?

  5. Source Selection Criteria: What are the guidelines regarding award without considerations?

  6. Scope Management Plan: Are Corrective Actions taken when actual results are substantially different from detailed Compliance and Risk project plan (variances)?

  7. Initiating Process Group: During which stage of Risk planning are risks prioritized based on probability and impact?

  8. Cost Management Plan: Is your organization certified as a supplier, wholesaler, regular dealer, or manufacturer of corresponding products/supplies?

  9. Procurement Audit: Was a formal review of tenders received undertaken?

  10. Activity Cost Estimates: What procedures are put in place regarding bidding and cost comparisons, if any?

Step-by-step and complete Compliance and Risk Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

2.0 Planning Process Group:

3.0 Executing Process Group:

  • 3.1 Team Member Status Report
  • 3.2 Change Request
  • 3.3 Change Log
  • 3.4 Decision Log
  • 3.5 Quality Audit
  • 3.6 Team Directory
  • 3.7 Team Operating Agreement
  • 3.8 Team Performance Assessment
  • 3.9 Team Member Performance Assessment
  • 3.10 Issue Log

4.0 Monitoring and Controlling Process Group:

  • 4.1 Compliance and Risk project Performance Report
  • 4.2 Variance Analysis
  • 4.3 Earned Value Status
  • 4.4 Risk Audit
  • 4.5 Contractor Status Report
  • 4.6 Formal Acceptance

5.0 Closing Process Group:

  • 5.1 Procurement Audit
  • 5.2 Contract Close-Out
  • 5.3 Compliance and Risk project or Phase Close-Out
  • 5.4 Lessons Learned



With this Three Step process you will have all the tools you need for any Compliance and Risk project with this in-depth Compliance and Risk Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Compliance and Risk projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
  • Implement evidence-based best practice strategies aligned with overall goals
  • Integrate recent advances in Compliance and Risk and put Process Design strategies into practice according to best practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Compliance and Risk investments work better.

This Compliance and Risk All-Inclusive Toolkit enables You to be that person.


Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.