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Conduct a Compliance Program Assessment

Conduct a Compliance Program Assessment 

A Compliance Program Assessment is used to assess and document the current state of compliance oversight, management and related risks in a given compliance area.

The assessment will help identify strengths and opportunities within a specific compliance area's compliance program fundamentals including oversight accountability, regulatory reporting requirements, compliance management, compliance risks, and key compliance gaps, along with laying the groundwork to develop a compliance gap closure plan and escalating compliance concerns as appropriate.

Consult with University Compliance to plan, conduct, and finalize your assessment. 

Overview of Compliance Program Assessment Process

Stage #

Stage Title


1 Planning Consult with University Compliance and the lead Compliance Partner to plan a specific compliance program assessment
2 Interviews Compliance Partner and University Compliance will coordinate interviews to understand the compliance program
3 Blue Sheet Compliance Partner and University Compliance will collaborate to complete the "blue sheet" compliance program assessment tool
4 Review Compliance Partner and University Compliance will review the completed blue sheet and conduct a compliance program gap analysis
5 Gap closure Compliance Partner will develop a gap closure plan based on the compliance program assessment and submit the plan to University Compliance and their Responsible Executive
6 Compliance Program Assessment Report Responsible Executive and Chief Compliance Officer receive the integrated report on the compliance program fundamentals  and gap closure plan: University Compliance will risk rank the compliance program (compliance program fundamentals) and the compliance partner will detail outstanding compliance items and gap closure plan