Table of Contents
Note to readers: This template could be used for a compliance risk assessment survey. Customization of this template is necessary to better reflect business needs.
Step I: Identify Present Controls
This step is designed to identify present policies, education/training, and procedures that are in place now to ensure compliance with the above-stated law. (Example—compliance with wage and hour laws). Please answer as clearly and concisely as possible; the goal is to provide full and open disclosure of our present practices. This step is not to place blame; this step is designed to identify present controls.
Written Policy
-
Does [your biz name] have a written policy in place to ensure compliance with the above-stated law? ☐ Y ☐ N ☐ N/A
If yes:
-
Name of policy: ________________________________________________
-
Policy description: ________________________________________________
-
Training
-
Does [your biz name] have training to ensure compliance with the above-stated law? ☐ Y ☐ N ☐ N/A
If yes:
-
Describe training:
________________________________________________
________________________________________________
________________________________________________
-
Who is trained? ________________________________________________
-
Is the training mandatory? ☐ Y ☐ N
-
How is completion of training documented? ________________________________________________
-
How is the training conducted? ☐ Informal (on-the-job training) ☐ Formal ☐ Both
-
How often is training conducted? ________________________________________________
-
How is completion of training documented? ________________________________________________
-
Is there any independent verification of training? ☐ Y ☐ N
If yes:
-
Identify how training is independently verified: ________________________________________________
-
-
Provide education/training information not provided above:
________________________________________________
________________________________________________
________________________________________________
-
Compliance Procedures
-
Does [your biz name] have procedures to ensure compliance with the above-stated law? ☐ Y ☐ N ☐ N/A
If yes:
-
Name of procedures: ________________________________________________
-
Describe procedures:
________________________________________________
________________________________________________
________________________________________________
-
Disclosure
-
Is disclosure/filing a report (either internal or external) required? ☐ Y ☐ N ☐ N/A
If yes:
-
Describe disclosure/report to be filed: ________________________________________________
-
How often must reports be filed? (once, yearly, etc.) ________________________________________________
-
Who files the report? ________________________________________________
-
Is there an independent review before it is filed? ☐ Y ☐ N
If yes:
-
Identify who independently reviews: ________________________________________________
-
Identify how the report is independently reviewed: ________________________________________________
-
-
Provide disclosure/filing information not provided above:
________________________________________________
________________________________________________
________________________________________________
-
Data Collection
-
Is data collection required by law? ☐ Y ☐ N ☐ N/A
If yes:
-
Describe data collected:
________________________________________________
________________________________________________
-
List person who collects data: ________________________________________________
-
How often is the data collected? (once, yearly, etc.) ________________________________________________
-
Is there any independent review of the data? ☐ Y ☐ N
If yes:
-
Identify who independently reviews: ________________________________________________
-
Identify how data is independently reviewed: ________________________________________________
-
-
Provide data collection information not provided above:
________________________________________________
________________________________________________
________________________________________________
-
Physical Inspection
-
Is a physical inspection required by law? ☐ Y ☐ N ☐ N/A
If yes:
-
Describe inspection: ________________________________________________
-
Who does the inspection? ________________________________________________
-
How often do inspections take place? (once, yearly, etc.) ________________________________________________
-
Is there an independent review of the inspection or the results of the inspection? ☐ Y ☐ N
If yes:
-
Identify who: ________________________________________________
-
Describe extent of independent review: ________________________________________________
-
-
Provide inspection information not provided above:
________________________________________________
________________________________________________
________________________________________________
-
Operational Control
-
What other operational controls exist to ensure compliance with the law?
________________________________________________
________________________________________________
________________________________________________
-
Provide other operational controls—be specific:
________________________________________________
________________________________________________
________________________________________________