ACC offers this Legal Operations Maturity Model as a reference tool. Use it to benchmark maturity in any given area(s), bearing in mind that priorities and aspirational targets will vary based on department size, staffing and budgets. We have partnered with leading legal service providers to produce the Foundational Toolkit to advance in each of the 14 functions. Members can link to the tools and on-demand webcasts below.

Maturity Model Stages

EARLY

  • Compliance is decentralized in business units across the company

  • No clear definition of compliance

  • No annual training OR bare minimum required by statute/regulations/settlement agreements

INTERMEDIATE

  • Centralized compliance function

  • Policies and procedures drafted

  • Gap analysis conducted and strategic plan in place

  • Undertaking automation and systematization of compliance processes

ADVANCED

  • Enterprise-wide compliance plan documented, published and communicated

  • Annual compliance testing plan in place

  • Tool(s) deployed to track and mitigate future risk, (e.g. Governance, Risk and Compliance application(s))

  • Protocols and processes developed to identify security and compliance risks as they arise and correct them in real-time

Foundational Tools

Maturity Model Compliance - Definitive Guide to Compliance Third Party Risk Management
Learn how to implement a robust risk-based strategy that defines your third-party risk profile, standardizes the due diligence process, and performs continuous monitoring of third-party partners.

Maturity Model Compliance - Definitive Guide to Incident Management
Learn how to implement comprehensive incident management program that reinforces an organization’s commitment to ethical business practices.

Maturity Model Compliance 7 Steps to Creating a Culture of Ethics Integrity and Compliance
Prioritize your organization's compliance needs so that you can better understand the likelihood and magnitude of potential issues with these easy-to-follow steps.

Maturity Model Compliance - Definitive Guide to Compliance Training
Learn how to develop a strong training program that prevents misconduct, improves employee morale, strengthens alignment with core values and promotes ethical behavior.

Maturity Model Compliance - Definitive Guide to Policy Management
Learn how to develop a powerful, scalable, flexible, feature-rich policy management system enables organizations to manage policies throughout all of the stages of the policy life cycle.

Maturity Model Compliance Definitive Guide to Compliance Program Assessment
Review the essential components of an effective compliance program and learn how to assess its overall impact on an organization to drive continuous improvements.

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