Compliance Self-Assessment

Introduction and Instructions

This tool is intended to give busy executives and experts a “snapshot” of the compliance status of their corporation. The 12 questions should take 3-5 minutes to complete. After completing, simply submit the form. You will receive an email summary of strengths and weaknesses, along with a color-coded chart and prioritized recommendations. Your responses will be treated confidentially and there is no cost or obligation.

The process is simple. Using the bullets below each question/category, indicate your level of confidence in the compliance readiness of your company. For example, a score of 5 would indicate high confidence, 4 would indicate a fair level of confidence but with reservations, 3 would indicate mediocre performance, 2 would denote significant problems, and a score of 1 would mean little or no confidence. If you are not sure of the question or answer, simply put in a 3 for the median score. Do not leave a blank.

Note: This is intended as a convenient tool. It is highly subjective and not meant to replace an on-site compliance assessment.