Compliance Templates

1. Compliance Program Template

• Purpose: Outlines the structure and components of a compliance program.

• Key Sections:

  • Compliance policies and procedures

  • Roles and responsibilities

  • Training and communication plans

  • Monitoring and auditing processes

• Source: SCCE Compliance Program Templates

2. Policy and Procedure Template

• Purpose: Standardizes the creation of compliance policies and procedures.

• Key Sections:

  • Policy statement

  • Scope and applicability

  • Responsibilities

  • Enforcement and consequences

• Source: NAVEX Global Policy Management

3. Risk Assessment Template

• Purpose: Identifies and evaluates compliance risks.

• Key Sections:

  • Risk categories (e.g., regulatory, operational, financial)

  • Risk likelihood and impact

  • Mitigation strategies

• Source: MetricStream Risk Assessment

4. Incident Reporting Template

• Purpose: Documents compliance-related incidents and breaches.

• Key Sections:

  • Incident description

  • Date and time of occurrence

  • Individuals involved

  • Corrective actions taken

• Source: Resolver Incident Management

5. Audit Checklist Template

• Purpose: Ensures thorough compliance audits.

• Key Sections:

  • Audit objectives

  • Areas to be audited

  • Compliance criteria

  • Findings and recommendations

• Source: Wolters Kluwer TeamMate+

Compliance Questionnaires

1. Third-Party Vendor Compliance Questionnaire

• Purpose: Assesses the compliance posture of third-party vendors.

• Key Questions:

  • Do you have a compliance program in place?

  • How do you handle data privacy and security?

  • Are you compliant with relevant regulations (e.g., GDPR, CCPA)?

• Source: OneTrust Third-Party Risk Management

2. Employee Compliance Awareness Questionnaire

• Purpose: Evaluates employees' understanding of compliance policies.

• Key Questions:

  • Are you aware of the company’s code of conduct?

  • Have you completed compliance training?

  • Do you know how to report compliance violations?

• Source: NAVEX Global Ethics and Compliance Training

3. Data Privacy Compliance Questionnaire

• Purpose: Assesses an organization’s data privacy practices.

• Key Questions:

  • Do you have a data protection officer (DPO)?

  • How do you handle data subject access requests (DSARs)?

  • Are you compliant with GDPR or CCPA?

• Source: IAPP GDPR Resources

4. Anti-Bribery and Corruption (ABC) Questionnaire

• Purpose: Evaluates an organization’s anti-bribery and corruption controls.

• Key Questions:

  • Do you have an ABC policy in place?

  • How do you handle gifts, hospitality, and donations?

  • Are employees trained on ABC regulations?

• Source: ISO 37001 Anti-Bribery Management