Risk Assessment

Sample Compliance Risk Assessment Questionnaire

By Betsy Wade, MPH, CHC, CNA

Interviewee: ___________________________

Title: __________________________________

Interviewer: ____________________________

Date of Interview: _______________________

Compliance Risk Assessment Questionnaire

1. What are your key areas of concern for the next fiscal year?

‍________________________________________________________________

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2. What are your key processes, functions, and/or controls that are subject to frequent breakdowns or at the greatest risk of breaking down?

‍________________________________________________________________

________________________________________________________________

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3. What are the most important things you are working on and how could they fail?

‍________________________________________________________________

________________________________________________________________

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4. What is your process for monitoring issues? How is that information reported?

________________________________________________________________

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5. What is your method for distributing new regulations or policy changes?

‍________________________________________________________________

________________________________________________________________

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6. What is the process for training the department on internal/external requirements?

________________________________________________________________

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7. What is the process for developing and updating the department policies and procedures and verifying they are being accurately implemented?

‍________________________________________________________________

________________________________________________________________

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8. Is there anything you foresee coming down the road (e.g., mergers, acquisitions, joint ventures, etc.)?

‍________________________________________________________________

________________________________________________________________

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9. Other areas of comment or concern?

‍________________________________________________________________

________________________________________________________________

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About SCCE

The Society of Corporate Compliance and Ethics (SCCE) is a non-profit, member-based professional association. SCCE supports our members' work with education, news, and discussion forums. We are a community of leaders, defining and shaping the corporate compliance environment across a wide range of industries and geographic regions. In developing and maintaining effective ethics and compliance programs, our members strengthen and protect their companies.

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About HCCA

The Health Care Compliance Association (HCCA), is a 501(c)6 non-profit, member-based professional association. HCCA was established in 1996 and is headquartered in Minneapolis, MN. We provide training, certification, and other resources to over 10,000 members. Our members include compliance officers and staff from a wide range of organizations, including hospitals, research facilities, clinics and technology service providers.

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