Question: Is there a formal maturity-evaluation or benchmarking process for the compliance and audit function?
Why This Matters
Periodic maturity assessment helps prioritize improvement and demonstrates progress to management and regulators.
Maturity
0 — Unaware
No assessment of compliance function maturity.
No assessment of compliance function maturity.
1 — Ad Hoc
Self-evaluation done informally after audits.
Self-evaluation done informally after audits.
2 — Defined
Maturity model adopted with criteria (people, process, tech).
Maturity model adopted with criteria (people, process, tech).
3 — Managed
Annual maturity scoring and report to management.
Annual maturity scoring and report to management.
4 — Integrated
Benchmarks shared across industry or frameworks.
Benchmarks shared across industry or frameworks.
5 — Optimized
Automated maturity dashboards and peer comparison.
Automated maturity dashboards and peer comparison.
How to Level Up
| From → To | Actions |
|---|---|
| 0 → 1 | Define criteria for maturity (e.g., NIRMATA levels 0–5). |
| 1 → 2 | Create evaluation template with weights. |
| 2 → 3 | Perform annual self-assessment and record score. |
| 3 → 4 | Benchmark against peer organizations or standards. |
| 4 → 5 | Automate scoring and trend dashboards. |
Enablers
- People: Compliance Head, Audit Lead, Quality Manager
- Process: Assess → Score → Plan → Report
- Technology: Survey tool, GRC platform, dashboard engine
Evidence
- Maturity assessment records
- Action plan and status updates
- Management review minutes
KPIs
- Maturity score by dimension
- Number of actions closed since last assessment
- Improvement trend quarter-on-quarter
Low-Cost / Open-Source Options (MSME)
| Purpose | Tool | Notes |
|---|---|---|
| Survey | Google Forms / Typeform | Collect scores |
| Dashboard | Metabase | Visualize progress |
| Tracking | Airtable | Improvement plan log |
Common Pitfalls
- Assessment performed but no action taken
- Results not shared with management
- Criteria inconsistent each year
Compliance Mapping
| Standard | Clauses / Notes |
|---|---|
| ISO/IEC 27001 | 10.2 (Continual Improvement) |
| DPDP Act 2023 | Sec 10 (Accountability Review) |
| NIST CSF 2.0 | GV.MA / IM.ME |
| NIRMATA Mapping | CA-Q11 measures and benchmarks compliance maturity. |