Methods and systems for compliance program assessment

A system for identifying and quantifying compliance comprising:

• at least one computer;
• a server configured to read input information relating to identifying and quantifying compliance, assess at least one compliance program, prioritize risk, identify issues relating to the risk and mitigate and control to resolve the issues;
• a network connecting said computer to said server;
• and
• a user interface allowing a user to input information relating to identifying and quantifying compliance.

A computer programmed to:

• prompt a user to identify potential risks and failure modes and root causes associated with the risks within a compliance program;
• prioritize the risks;
• and
• prompt the user with at least one mitigation plan to deal with at least one of the identified risks, failure modes, and root causes.

A database comprising:

• data corresponding to identified potential risks;
• data corresponding to prioritization of the risks;
• and
• data corresponding to a mitigation and control plan.

A method for compliance assessment comprising the steps of:

• entering, into an electronic interface, identified compliance risks and failure modes and root causes associated with the compliance risks;
• entering, into the electronic interface, compliance requirements;
• and
• requesting, from the electronic interface, a mitigation and control plan.

A system configured for compliance assessment comprising:

• at least one computer;
• a server configured to provide a questionnaire which includes a plurality of binary questions relating to a compliance program and a definition of what constitutes an affirmative answer to the questions to identified process owners, compile answers received from the process owners, and summarize the questions and answers as an assessment of the compliance program;
• a network connecting said computer to said server;
• and
• a user interface allowing process owners and members of a cross functional team to enter information relating to a compliance assessment.

A method for assessing a compliance program, said method comprising the steps of:

• assembling a cross-functional team for determining what constitutes compliance;
• creating a questionnaire including a plurality of binary questions relating to compliance and defining what constitutes an affirmative answer to the questions;
• identifying and interviewing process owners for compliance with the compliance program;
• compiling interview results;
• and
• summarizing the results as an assessment of the compliance program.