Compliance Toolkit

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Confirm your organization assess, modify, enhance and develop the enterprise strategy for information Security And Compliance in partnership with peers and business leaders, creating short and long term initiatives that support Business Objectives that mitigate organization risk and protect Data Security.

More Uses of the Compliance Toolkit:

  • Develop and implement technical Project Management tools as plans, schedules, responsibility and compliance metrics, cost estimating or Demand Forecasting using Climax Software.

  • Confirm you specify; lead the Information security and governance, Risk Management, and compliance teams and external vendors and Service Providers to ensure that the disciplines, protections, and procedures are in place to secure organizational systems and data.

  • Support and develop policies and Internal Controls working with legal and compliance teams and business owners to ensure you are complying with regulatory obligations on an annual basis.

  • Supervise: validation of compliance to policies, standards, process, procedures, controls and oversee enforcement efforts to ensure services are being provided with a high level of quality.

  • Identify: proactively identify audit and compliance access related issues to reduce the risk of security exposures on the support systems and work with various teams to implement the improvements.

  • Orchestrate: partner with IT infrastructure and IT Business systems team to design governance and compliance initiatives around Change Management, systems implementations, and asset governance programs.

  • Confirm your organization establishes and maintains organization wide Policies and Procedures that ensure data Security And Compliance policies and practices align with all applicable Regulatory Requirements.

  • Direct: work as part of the Software Development team during all phases of the software lifecycle, assessing the planning for and implementation of the software process for compliance with good engineering practices and Customer Requirements.

  • Orchestrate: mature and execute Technology Risk management strategy for cloud based solutions, working closely with business, technology, and Information security to allow cloud platform capabilities.

  • Identify: partner with security and it to ensure centralized visibility of all identity based audit logs, and the development of reporting and metrics to enable operational and compliance based objectives.

  • Steer: review and evaluates designs and project activities for compliance with development guidelines and standards; provides tangible feedback to improve Product Quality and mitigate failure risk.

  • Confirm your organization coordinates the activities of Project Teams working on complex and interrelated systems to ensure compliance with all information technology policies, procedures and programming standards.

  • Facilitate and drive cross functional relationships ( as with Technology, Finance, Human Resources, Sales, and Risk, Ethics and Compliance), providing overall leadership, direction and cohesiveness for Legal Department projects and Stakeholder Management.

  • Organize: advocate for security, privacy, and compliance product improvements to the security, product, IT infrastructure and software Development Teams through customer use cases and stories.

  • Guide: review and evaluates designs and project activities for compliance with applications design and development guidelines and standards; provides tangible feedback to improve Product Quality and mitigate failure risk.

  • Secure that your organization monitors database governance, database services, and operational metrics to track and improve services levels, Operational Transparency and effectiveness, and audit and security compliance.

  • Ensure service is delivered in line with agreed upon targets; Compliance Controls, procedures, quality audits, Service Level Agreements (SLAs) and Key Performance Indicators (KPIs).

  • Devise: review and evaluate designs and project activities for compliance with customer use cases, end end workflows, industry deployments, guidelines and standards; provides tangible feedback to improve Product Quality and mitigate failure risk.

  • Confirm your organization establishes and maintains DevSecOps Automation usage guidelines, standards and best practices, to ensure tool use is efficient, effective and adheres to organizational compliance and security practices.

  • Establish a baseline security profile aligned with your Compliance Requirements and ensure your capability for identifying and remediating known security vulnerabilities across all platforms.

  • Pilot: Quality Assurance engineering supports compliance with applicable Regulatory Requirements by maintaining an effective Quality Management System and implementing Continuous Improvements.

  • Identify: successfully completes compliance modules assigned annually by your organization and develops challenging yet compliant advertising messages while avoiding regulatory organization warning letters.

  • Ensure that all captures and programs are receiving the necessary level of Security support in order to achieve and maintain security compliance objectives, and ensure Customer Satisfaction respective to the security requirements.

  • Provide technical security expertise and leads security initiatives, help develop and implement your organizations security program, manage Security Tools and platforms, and ensure compliance with Security Policies.

  • Confirm you command; embed the groups values and code of conduct to ensure that adherence with the highest standards of ethics, and compliance with relevant policies, processes and regulations among employees form part of the culture.


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

STEP 1: Get your bearings

Start with...

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

Examples; 10 of the 995 standard requirements:

  1. How do IT Organizations achieve consistent policy configuration to achieve Compliance Requirements, a simpler experience for users and administrators, and less risk from an improperly managed system?

  2. Is there evidence that the facility (or at service level) uses consumer complaints and compliments feedback or local Patient Experience survey feedback to improve provision of medicines information?

  3. What are some example operational aspects of utilizing cloud services that you should be requesting from your cloud Service Providers, cloud software vendors, and from your own IT Organization?

  4. Are you a Compliance Officer of a global Financial Services client who is concerned with the cost of remediating and/or complying with periodic refresh requirements of customer accounts?

  5. Are your organizations efforts to adapt current Internal Audit, Risk Management, compliance and Financial Reporting practices to the principles within the new COSO framework sufficient?

  6. How do technologies like e-mail archiving, Records management, classification, WORM storage and eDiscovery tools come together in a unified solution to address Compliance Requirements?

  7. When you consider how much money your organization spends on its physical appearance, is not it worth spending at least that much on its compliance, operational and Reputational Risk?

  8. What is an appropriate Data Protection Compliance Management framework for multinational companies, for example, regarding Risk Assessments, policies, training and conducting audits?

  9. Is the information managers compliance with the act and regulations under the act, the conditions of the agreement and the authorized purposes for disclosure being monitored?

  10. How would a Smart contract deal with a situation where subjective evaluation of Quality of Service against a services description is required in order to verify compliance?

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

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

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

Examples; 10 of the check box criteria:

  1. Risk Audit: Tradeoff: how much risk can be tolerated and still deliver the products where they need to be?

  2. Activity Duration Estimates: When would a milestone chart be used instead of a bar char?

  3. Roles and Responsibilities: Do you take the time to clearly define roles and responsibilities on Compliance project tasks?

  4. Schedule Management Plan: Is there general agreement & acceptance of the current status and progress of the Compliance project?

  5. Schedule Management Plan: Is pert / critical path or equivalent methodology being used?

  6. Procurement Audit: Are travel expenditures monitored to determine that they are in line with other employees and reasonable for the area of travel?

  7. Change Request: What type of changes does Change Control take into account?

  8. Human Resource Management Plan: Do all stakeholders know how to access this repository and where to find the Compliance project documentation?

  9. Variance Analysis: How do you identify and isolate causes of favorable and unfavorable cost and schedule variances?

  10. Schedule Management Plan: Does all Compliance project documentation reside in a common repository for easy access?

Step-by-step and complete Compliance 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 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 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 project with this in-depth Compliance Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Compliance 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 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 investments work better.

This Compliance 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.