Tool
The Compliance Maturity Spectrum
A tool to self-assess the maturity and health of your compliance program, plus guidance on how to evolve and mature your compliance program.
05: Compliance Maturity Spectrum Self-Assessment: Technology
This self-assessment will help you identify where your organization currently falls on the compliance maturity spectrum. Once you have the results, you can move on to the next section to see a set of recommendations and action items for evolving and optimizing your compliance program.
Organizations at different compliance maturity points have different levels of technology usage to manage their compliance operations.
Compliance Maturity Spectrum: Technology
Level 1
Minimal
No technology.
Level 2
Reactive
Uses basic tools such as file storage, email, and slack and spreadsheets to manage compliance program.
Level 3
Evolving
Has a central digital system of record for compliance program.
Level 4
Continuously Compliant
Has a central digital system of record to manage compliance program.
Integrates productivity tools to make tracking tasks and collaboration easy.
Level 5
Strategic
Has a central digital system of record to manage compliance program.
Integrates productivity tools to make tracking tasks and collaboration easy.
Uses automation in evidence collection and controls testing and to keep up with regulatory updates.
An organization can be more mature in one or two aspects and still playing catch up in others. Also, you don’t necessarily need to move to level 5 in all dimensions, because the needs of your organization could be met with a lower level of maturity.
