Compliance Excellence Assessment Tool _ Baseline |
Welcome Partners!
This Compliance Excellence Assessment Tool will serve as a base-line, mid-line and end-line survey for you to evaluate your compliance certification program journey. Please read the instructions below carefully before taking the assessment.
Objective
· Establish a baseline of organisations undertaking the training program.
· Establish clear compliance benchmarks to measure adherence, knowledge, and incident management within the organisation.
· Evaluate the effectiveness of training programs by assessing improvements in compliance and governance post-training.
Who Needs to Fill It?
The tool should be completed by the founder(s)/director(s) in consultation with the Heads of departments for the following functions:
1. Fundraising and Donor Management
2. Finance and Accounting
3. Statutory and Regulatory Compliance
4. Operations (Data, Technology, Knowledge Management, HR, etc.)
Scoring Basis: The tool’s scoring is based on responses to each question, which reflect the organization's compliance health.
Score Format is mentioned below -
Objective
· Establish a baseline of organisations undertaking the training program.
· Establish clear compliance benchmarks to measure adherence, knowledge, and incident management within the organisation.
· Evaluate the effectiveness of training programs by assessing improvements in compliance and governance post-training.
Who Needs to Fill It?
The tool should be completed by the founder(s)/director(s) in consultation with the Heads of departments for the following functions:
1. Fundraising and Donor Management
2. Finance and Accounting
3. Statutory and Regulatory Compliance
4. Operations (Data, Technology, Knowledge Management, HR, etc.)
Scoring Basis: The tool’s scoring is based on responses to each question, which reflect the organization's compliance health.
Score Format is mentioned below -
| Question scores | Score |
| Absolutely yes (100%) | 2 |
| Partially yes | 1 |
| Absolutely no (100%) | 0 |
The score would indicate the compliance status of the organisation against the Compliance Excellence Framework with the following result and analysis
| Score | Above 80% - 100% | Above 60% to 80% | Less or equal to 60% |
| Result | Compliant | Partially compliant | Non-compliant |
| Analysis | Satisfactory, overall well-managed | Needs Improvement in some areas | Critical risks, immediate corrective actions needed |
Honest and Accurate Responses: To obtain a true compliance assessment, answer honestly and accurately to identify capacity-building areas.
Consultation: If uncertain about any response, consult the relevant accountable person before proceeding.
Let's get started!