Technology Governance and Strategy Assessment
Evaluates IT compliance and control assurance maturity across compliance mandate and governance, obligations and regulatory change, control mapping and design, evidence and continuous monitoring, control testing, audits, inspections and certifications, third-party and customer assurance, and compliance reporting and improvement.
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Head of IT compliance, CIO, audit committee. Secondary: control owners, legal and regulatory affairs, vendor management, internal audit, chief risk officer and external auditors.
Shows where obligations are unknown or unmapped, where controls are tested twice or not at all, where evidence cannot be produced on demand, where findings close without proof, where AI systems and agents sit outside control testing, where provider assurance is filed but not read, and where the board learns of compliance issues from others. Gives a prioritized path to a program that proves compliance continuously.
Many organizations meet each audit and inspection as a separate event: a scramble for evidence, the same control tested three times by three parties, findings that close on paper and reappear next year, and a board that learns of a significant gap from the regulator. Obligations sit in several registers that disagree, nobody can show which control meets which requirement, and AI tools and agents now act on controlled systems without anyone testing them. This assessment follows the order in which a second-line compliance program is built: the policy, roles, independence, forum, competence, plan and the rules for AI in compliance work; one register of obligations, applicability, risk rating and regulatory change; the map from obligations to controls, key controls, procedures, shared and AI controls, rationalization and exceptions; evidence, the compliance platform, automated evidence, continuous monitoring, self-assessment challenge, monitoring reviews and investigations; risk-based testing, independence, design review, sampling and full-population analytics, reliance on other assurance, reporting, deficiency rating and retest; one coordination procedure for audits and inspections, action plans, regulator commitments and engagement, certifications and audit safeguards; supplier, AI and cloud provider assurance, own assurance reports, customer answers, attestations and outsourced assertions; and submissions, metrics, board reporting, management review, independent review, peer lessons and improvement. It is the compliance deep dive of the Technology Governance family. The hub, Technology Governance and Strategy, sets direction and receives the compliance view; IT Risk Management holds the control library and issues register; Enterprise Risk Management holds the rating method and combined assurance; AI Governance holds AI controls; internal audit keeps its own engagement rules and reviews this program independently.
Each domain is a group of related questions, scored on its own and rolled up into your overall result.
01 · 7 questions
The IT compliance policy and scope, compliance roles across the three lines, independence and resourcing of the compliance function, the IT compliance forum, compliance competence, compliance objectives and the annual plan, and AI used in compliance and assurance work
02 · 7 questions
The consolidated obligations register and its feeder registers, applicability by entity and jurisdiction, compliance risk rating, horizon scanning, change impact assessment, implementation to effective dates and the regulatory interpretation record
03 · 7 questions
The obligation-to-control map over the IT control library, key control scoping including technology general controls, control operating procedures, inherited and shared controls, AI systems and agents in control scope, control rationalization and compliance exceptions
04 · 7 questions
The evidence standard and repository, the compliance platform and control data, automated evidence integrity, continuous control monitoring including agent actions, challenge of control self-assessments, compliance monitoring reviews and noncompliance investigation
05 · 8 questions
The risk-based testing plan, tester independence and competence, control design review, test procedures, sampling and full-population analytics, reliance on other assurance, test results reporting, deficiency rating, aggregation and escalation, and remediation with retest before closure
06 · 8 questions
One coordination procedure for internal audits, external audits and regulatory inspections with hand-offs to internal audit, inspection readiness, management action plans, regulator commitments, regulator engagement, the certification portfolio, surveillance and recertification readiness and safeguards during audit testing
07 · 6 questions
Review of supplier assurance reports, AI and cloud provider assurance, the organization's own assurance reports, the customer assurance program, management control attestations and outsourced compliance assertions
08 · 7 questions
Periodic regulatory submissions, compliance indicators, executive and board reporting, management review, independent program review by internal audit, lessons from peer enforcement and compliance improvement
Measures that show whether the improvements hold.
| KPI |
|---|
| Deficiencies First Raised by Regulators or External Auditors - Share of deficiencies and breaches first raised by a regulator or external auditor rather than by the organization. Target: 10% or fewer (model target). |
| Mapping Accuracy on a Re-performed Sample - Share of sampled obligation-to-control links an independent re-performance confirms. Target: 95% or more (model target). |
| Control Failures First Found by Monitoring - Share of key control failures first detected by monitoring or the owner rather than by testing, audit or a regulator. Target: 70% or more (model target). |
| Closed Deficiencies That Fail Again - Share of deficiencies closed after retest that fail again on the same control within 12 months. Target: 5% or fewer (model target). |
| Audit Actions Overdue without an Approved Extension - Share of audit and inspection actions past their due date at quarter end without an approved extension. Target: 5% or fewer (model target). |
Questions are written in plain language and mapped to:
Practices this assessment relies on. Assessing them too gives a fuller picture.
An overall score and a score for each of the 8 domains.
A clear view of where current practice falls short, and why it matters.
Prioritized next steps to move each area to the next level.
Results you can share with leadership and track over time.
Register, take the assessment, and get your maturity score with a clear improvement roadmap.
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