Risk Management and Compliance Toolkit

Downloadable Resources, Instant Access

Ensure your organization reviews and recommends revisions to the Health Plan Compliance Program and Compliance Policies and Procedures as appropriate to respond to changes in your organizations needs and applicable legal requirements, identified weaknesses in the Program, or identified systemic patterns of noncompliance.

More Uses of the Risk Management and Compliance Toolkit:

  • Confirm your organization directs programs, policies, and practices to ensure that assigned business units are in compliance with applicable regulatory requirements and the internal policies and procedures of your organization.

  • Be a leader for risk management and compliance with multiple high growth Marketing product area teams with a focus on end to end spend governance and driving value for spend.

  • Confirm your organization develops and ensures the implementation of your organizations policies and procedures related to ongoing monitoring and improvement of quality care and to ensure policies meet regulatory requirements.

  • Ensure your organization prepares complex, comprehensive, risk based review of existing and emerging regulatory requirements and provides prompt, focused feedback to business management on concerning issues and control gaps.

  • Ensure your organization business priorities are built around the need to strengthen and guard your organization from the many risks you face, financial rigor, risk discipline, fostering a transparent culture and doing the right thing in every situation.

  • Ensure your organization defines and implements a risk based approach to identifying, monitoring, measuring and reporting various types of security risk and compliance issues in regards to financial reporting.

  • Ensure you understand current and expected changes to business strategy and related regulatory implications to business, and continually update compliance processes, procedures and policies accordingly.

  • Provide security consulting services in identifying, assessing, managing, and tracking remediation of risks related to IT infrastructure, applications, platforms and suppliers and drive explicit requirements and timelines in all environments.

  • Ensure your organization brings regulatory changes and matters of significance or urgency to the attention of the CCO and/or Departmental Executives and facilitates needed changes for compliance or to improve business practices.

  • Be accountable for ensuring that all new employees receive information on health and personal safety in the workplace; emergency evacuation procedures and routes; and resources for reporting or obtaining additional information about health, safety, and related matters.

  • Perform deep dive review of areas of emerging risk or potential control gaps to identify issues for the business to remediate; document and share analysis with business stakeholders entering issues and action plans organizations system of record.

  • Establish: partner with the business to continually improve operational risk processes and business operating models, support safe business growth, and inform and influence risk based decision making.

  • Ensure your organization oversees the overall credentialing process ensuring consistent and complete information gathering and review to monitor the quality of care provided by independent practitioners, as per facility policy.

  • Provide leadership, guidance, and oversight to ensure the implementation and consistent operation of an information security governance, security risk management and compliance program.

  • Be accountable for ensuring adequate coverage of significant risks through delegation of resources for monitoring and review of standard reports, risk model analysis and associated field work.


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

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Risk Management and 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 990 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Risk Management and Compliance improvements can be made.

Examples; 10 of the 990 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. When it comes to compliance issues, configuration issues, multiple reseller relationships and various pricing models, what is the best way to implement a cohesive strategy across the world?

  3. Can compliance evolve to become a credit to the business, perhaps through implementing better risk management, or will it continue to be a costly process with few real business benefits?

  4. Are your organizations efforts to adapt current internal audit, risk management, compliance and financial reporting practices to the principles within the framework used sufficient?

  5. Is the internal audit department in your organization expected to provide independent assurance regarding the activities of risk management, compliance, and other assurance functions?

  6. How confident are you that your organization has selected and is effectively implementing the right management activities and controls to address your risks and requirements?

  7. What enterprise-wide risk management systems are in place to identify whether legal compliance and environmental, ethical and economic ambitions and progress are achieved?

  8. When it comes to electronic payment acceptance, are you doing enough to manage risk, contain compliance costs, and meet customer service expectations?

  9. How ready are you to combine the power of your enterprise data and the variety of data from external sources to meet your risk management and compliance requirements?

  10. How confident are you in your organizations ability to identify IT security vulnerabilities, threats and requirements that give rise to risks and compliance needs?

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 Risk Management and Compliance book in PDF containing 990 requirements, which criteria correspond to the criteria in...

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

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

Examples; 10 of the check box criteria:

  1. Communications Management Plan: Will messages be directly related to the release strategy or phases of the Risk Management and Compliance project?

  2. Requirements Management Plan: Which hardware or software, related to, or as outcome of the Risk Management and Compliance project is new to your organization?

  3. Human Resource Management Plan: Are Risk Management and Compliance project leaders committed to this Risk Management and Compliance project full time?

  4. Stakeholder Management Plan: Are there ways to reduce the time it takes to get something approved?

  5. Activity Resource Requirements: Which logical relationship does the PDM use most often?

  6. Team Performance Assessment: To what degree do team members articulate the teams work approach?

  7. Risk Audit: Does your organization have or has considered the need for insurance covers: public liability, professional indemnity and directors and officers liability?

  8. Scope Management Plan: What should you drop in order to add something new?

  9. Stakeholder Analysis Matrix: What do people from other organizations see as your strengths?

  10. Project Management Plan: Was the peer (technical) review of the cost estimates duly coordinated with the cost estimate center of expertise and addressed in the review documentation and certification?

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

1.0 Initiating Process Group:

  • 1.1 Risk Management and Compliance project Charter
  • 1.2 Stakeholder Register
  • 1.3 Stakeholder Analysis Matrix

2.0 Planning Process Group:

  • 2.1 Risk Management and Compliance project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Risk Management and Compliance 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 Risk Management and Compliance 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 Risk Management and 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 Risk Management and 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 Risk Management and Compliance project with this in-depth Risk Management and Compliance Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Risk Management and 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 Risk Management and 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 Risk Management and Compliance investments work better.

This Risk Management and 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.