Compliance Control Toolkit

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Implement a testing and monitoring program to determine the adequacy and effectiveness of compliance controls and develop periodic reporting on the test results.

More Uses of the Compliance Control Toolkit:

  • Drive: conduct and manage necessary IT compliance control monitoring and testing activities to determine the effectiveness of the controls.

  • Create and manage processes for monitoring cybersecurity strategies, policies, compliance controls and programs to meet business needs.

  • Establish automated queries and dashboards to build compliance controls to scale.

  • Lead IT compliance control monitoring programs to ensure IT compliance related risks are managed to the appropriate level of acceptable residual risk.

  • Confirm you do lead necessary IT compliance control monitoring and testing activities to determine effectiveness of the controls and ensure deficiencies are remediated.

  • Be accountable for executing compliance controls testing, transactional testing, or compliance controls monitoring activities based on the pre defined testing plan.

  • Drive: review policies and procedures to ensure solid compliance controls.

  • Ensure you do build automation for procedural and technical compliance controls.

  • Systematize: research, identify, design, and develop new information security or compliance controls for clients.

  • Make sure that your organization performs defined audit procedures to perform testing of Sarbanes Oxley (SOX) compliance controls.

  • Ensure you do recommend corrective and preventative actions for any identified weaknesses in compliance controls or systems and suggest changes to reduce safety risks.

  • Coordinate: web filtering and compliance controls.

  • Provide robust assurance of the operational effectiveness of your compliance controls.

  • Facilitate automation for procedural compliance controls.

  • Confirm you do understand and ensure that all cloud platform solutions follow security and compliance controls.

  • Adhere to established operating, risk, and compliance controls and standard operating procedures.

  • Ensure you do spearhead identifies opportunities for strengthening compliance controls proactively.

  • Drive efficiency in the compliance process through automation and rationalizing configuration / code based compliance controls over manual process and controls.


Save time, empower your teams and effectively upgrade your processes with access to this practical Compliance Control Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Compliance Control 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 Control specific requirements:

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Compliance Control 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 995 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 Control improvements can be made.

Examples; 10 of the 995 standard requirements:

  1. Are your risk, control and compliance resources and capabilities residing in the right function and location to minimize the cost while maximizing compliance, scalability, agility and transparency?

  2. Do plans incorporate an appropriate range of audit types including compliance, financial audits, payroll audits, system including information technology audits, forensic and performance audits?

  3. How effective is your organizations internal audit process in determining the adequacy of risk control systems and assessing compliance with relevant policy and statutory requirements?

  4. Do you have controls in place to ensure compliance with all applicable mandatory regulations, and to ensure that appropriate codes, guidelines and standards are taken into account?

  5. What do you have in place to validate the efficacy of your current security controls or compliance with your risk profile across insiders, suppliers, and external adversaries?

  6. Does a failure to have in place an adequate capital calculation and compliance infrastructure become an internal controls or a safety and soundness issue?

  7. Are there native automated digital governance control features allowing you to mitigate errors, ensure quality, and drive compliance within the interface?

  8. Is your organizations day to day supervision reasonably effective in identifying and correcting cases of non compliance and internal control weaknesses?

  9. Did your organization take appropriate measures to correct the compliance program and control deficiencies identified during the root cause analysis?

  10. Which international compliance standard provides guidelines for information security controls applicable to the provision and use of cloud services?

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 Control book in PDF containing 995 requirements, which criteria correspond to the criteria in...

Your Compliance Control 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 Control Self-Assessment and Scorecard you will develop a clear picture of which Compliance Control 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 Control 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 Control projects with the 62 implementation resources:

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

Examples; 10 of the check box criteria:

  1. Schedule Management Plan: Has the ims content been baselined and is it adequately controlled?

  2. Schedule Management Plan: Are software metrics formally captured, analyzed and used as a basis for other Compliance Control project estimates?

  3. Project Performance Report: To what degree does the teams purpose contain themes that are particularly meaningful and memorable?

  4. Lessons Learned: What was the single greatest success and the single greatest shortcoming or challenge from the Compliance Control projects perspective?

  5. Monitoring and Controlling Process Group: How were collaborations developed, and how are they sustained?

  6. Risk Audit: Do you have financial policies and procedures in place to guide officers of your organization/treasurer/general members?

  7. Risk Register: What would the impact to the Compliance Control project objectives be should the risk arise?

  8. Assumption and Constraint Log: Are processes for release management of new development from coding and unit testing, to integration testing, to training, and production defined and followed?

  9. Project or Phase Close-Out: What benefits or impacts does the stakeholder group expect to obtain as a result of the Compliance Control project?

  10. Source Selection Criteria: Does the evaluation of any change include an impact analysis; how will the change affect the scope, time, cost, and quality of the goods or services being provided?

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

1.0 Initiating Process Group:

  • 1.1 Compliance Control project Charter
  • 1.2 Stakeholder Register
  • 1.3 Stakeholder Analysis Matrix

2.0 Planning Process Group:

  • 2.1 Compliance Control project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Compliance Control project Scope Statement
  • 2.7 Assumption and Constraint Log
  • 2.8 Work Breakdown Structure
  • 2.9 WBS Dictionary
  • 2.10 Schedule Management Plan
  • 2.11 Activity List
  • 2.12 Activity Attributes
  • 2.13 Milestone List
  • 2.14 Network Diagram
  • 2.15 Activity Resource Requirements
  • 2.16 Resource Breakdown Structure
  • 2.17 Activity Duration Estimates
  • 2.18 Duration Estimating Worksheet
  • 2.19 Compliance Control project Schedule
  • 2.20 Cost Management Plan
  • 2.21 Activity Cost Estimates
  • 2.22 Cost Estimating Worksheet
  • 2.23 Cost Baseline
  • 2.24 Quality Management Plan
  • 2.25 Quality Metrics
  • 2.26 Process Improvement Plan
  • 2.27 Responsibility Assignment Matrix
  • 2.28 Roles and Responsibilities
  • 2.29 Human Resource Management Plan
  • 2.30 Communications Management Plan
  • 2.31 Risk Management Plan
  • 2.32 Risk Register
  • 2.33 Probability and Impact Assessment
  • 2.34 Probability and Impact Matrix
  • 2.35 Risk Data Sheet
  • 2.36 Procurement Management Plan
  • 2.37 Source Selection Criteria
  • 2.38 Stakeholder Management Plan
  • 2.39 Change Management Plan

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 Control 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 Control 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 Control project with this in-depth Compliance Control Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Compliance Control 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 Control 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 Control investments work better.

This Compliance Control 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.