COMPLIANCE ASSESSMENT
A compliance assessment is an evaluation process designed to determine whether an organization or system adheres to regulatory requirements, industry standards, or internal policies. These assessments can cover various areas, including financial regulations, data protection and privacy laws, cybersecurity standards, health and safety protocols, environmental regulations, and more.
The primary goals of a compliance assessment are to:
- Identify Gaps: Determine where the organization's practices might not meet the required standards or regulations.
- Mitigate Risks: Understand the potential risks associated with non-compliance, including legal penalties, financial losses, reputational damage, and operational disruptions.
- Recommend Improvements: Provide actionable insights and recommendations to help the organization address compliance gaps and improve its overall compliance posture.
- Ensure Accountability: Assign responsibility for compliance to specific organizational roles or departments.
- Demonstrate Compliance: Help organizations prove to regulators, partners, customers, and other stakeholders that they fully comply with relevant regulations and standards.
Access the Compliance Assessment from the Security-CTEM category.
The following compliance assessments are available.
Tap on the Start Assessment button to get started.
You will see a table view where any existing assessments will be displayed. This will show the Name, Start Date, Last Updated Date, Completed Date, Status, and an Action menu.
To begin a new assessment, click on the +Add button.
Give the Assessment a name and save it.
The assessment will display the number of sections with their description and the number of questions on the left panel.
You can tap on the section name to see the questions. The answers do not have to be completed in any order and can be saved as a ‘draft,’ so you may revisit the assessment many times until it is fully completed.
Tap the upload evidence icon next to any question if you have any supported documents or files to provide.
After all questions in each section are completed, the assessment status will show as Completed.
From the Action menu, you must select Fetch Latest Report, then choose View/Download to access your completed assessment, or Delete if you wish to remove it. You can also Clone any completed assessment if you need to make adjustments or various versions.
Note: Once a compliance assessment is marked as 'Completed,' it becomes read-only. This is intentional — it helps preserve audit integrity and ensures the assessment remains unchanged for compliance tracking.
The file will be saved as a standard ZIP folder using the Assessment Name
The folder will contain a Word document and an Excel file with the provided data.
Compliance Assessment - Drafts
When starting an assessment, you can save it at any time as a draft. Access the draft by using the three-dot action menu and choosing Edit.
Any of the uploaded evidence can be viewed/downloaded using the Evidence Uploaded button:
You can view, download, and/or delete the uploaded evidence here:
