From boardrooms to factory floors, this Global Compliance Questionnaire shines spotlight on the essential elements that shape an organization’s integrity and resilience. This tool guides companies through a thoughtful evaluation of their governance, ethics, risk management and regulatory practices. With probing questions for board members and management alike, it challenges organizations to assess whether compliance structures exist and how effectively they are embedded throughout the business. This tool explores everything from the visibility of codes of conduct and the depth of anti-fraud programs to the rigor of quality systems and the strength of whistleblower protections, ensuring that leadership is reactive and truly proactive in managing risk.

What sets this tool apart is its ability to connect the dots between policy and practice, encouraging honest reflection on business ethics, internal controls and operational continuity. It prompts organizations to consider the impact of their compliance efforts on reputation, employee morale and long-term growth, while also addressing critical areas like health, safety and environmental management.

Sample questions include:

•  Is sufficient time allotted during board meetings to review strategies and the supporting fact base before final decisions are made?
• Does the company take a risk-based approach to managing the business?
• Are directors involved in understanding significant risks the organization is planning to take and the value proposition for taking those risks before final decisions are made?
• Has fraud been made explicit in the Section 404 assessment of internal control over financial reporting (ICFR)?