 Compliance KPIs List

• Percentage of Audit Plan Completed – The percentage of compliance audit stages accomplished during one audit versus the total number of possible stages.
• Percentage of Neglected Compliance Issues – The percentage of overlooked compliance issues versus the total number of compliance issues.
• Number of Insurance Regulatory Reports – The total number of insurance administrative reports generated within a determined time period (monthly/quarterly/yearly).
• Number of Compliance-Related Lawsuits – The average yearly number of lawsuits filed against the firm for compliance-related matters.
• Compliance Backlog Percentage – Percentage of active compliance issues older than 28 days versus the total number of active issues.
• Breach of Customer Privacy Complaints – The total yearly number of confirmed complaints related to client privacy violations and client data loss.
• Average Cost of Investigations – The total expenditure in all ongoing investigations during the preceding year divided by the number of investigations.
• Compliance Training Hours per FTE – The average number of training hours related to compliance each full-time equivalent employee goes through.
• Average Financial Statement Cost – The total expense incurred to generate financial statements divided by the number of statements generated.
• Training Headcount Ratio – The total number of company-wide staff members divided by the number of training staff.
• Training Time for Customer Contact – The average number of hours of training received before communicating with a client.
• Number of Documents Destroyed – The average yearly number of damaged material documents.
• Percentage of Compliance-Related Lawsuits ‘Won’ – The percentage of lawsuits served against the firm during the preceding year that did not bring unfavorable result (e.g. won the case, minimized costs through prompt payment) versus the total number of lawsuits.

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• Total Legal Spending as a Percentage of Revenue – The percentage of legal spending (whether internal or external) versus the total profit for the preceding year.
• Average Cost per Compliance-Related Lawsuit – The total expenses incurred on all compliance-related lawsuits against the firm during the preceding year divided by the number of lawsuits.
• Number of Alerts Tracked – The average number of compliance-related alerts that are detected and revealed to the compliance team during a month.
• Insurance Regulatory Report Line Items – The average number of line items in an insurance regulatory report.
• Reported Compliance Violations per Employee – The number of documented compliance violations per company-wide staff member.

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• Total Compliance Employee Headcount – The total number of full-time equivalent compliance staff.
• Total Compliance Operating Expense – The total yearly operating cost for compliance.
• Non-Compliant Change Request Percentage – The percentage of change requests that do not abide by the change management process per total number of change requests.
• Percentage of Compliance Issues Handled Correctly – The percentage of compliance disputes managed properly versus the total number of compliance disputes.
• External Complaints per FTE – The total number of external complaints submitted during the preceding year divided by the number of firm-wide full-time equivalent staff.
• Internal Audits Frequency – The average amount of time (in days) transpired between internal audits.
• Internal Complaints per FTE – The total number of internal complaints submitted during the preceding year divided by the number of firm-wide full-time equivalent staff.
• Percentage of Compliant Policies Met – The percentage of client insurance policies that satisfy regulatory specifications versus the total number of policies.
• Total Regulatory Compliance Expense as a Percentage of Total Revenue – The percentage of expenditure budgeted for HR administrative compliance versus the total profit for the preceding year.
• Recurring Identified Improvement Opportunities – The number of growth opportunities that are duplicated across 2 or more assessments out of total growth opportunities identified.
• Number of Terminated Employee User Accounts Reviewed – The total number of discharged employee user accounts audited during the preceding year to ensure separation procedure compliance.
• Frequency of Policy Revisions – The average amount of time (in days) transpired between the assessment and amendment (if considered necessary) of compliance policies.
• Quarterly Access Review (QAR) Completion Time – The total number of business days needed to accomplish Quarterly Access Review (QAR) from beginning to end.
• Financial Non-Compliance Cost as a Percentage of Total Compliance Expense – The cost of financial non-compliance penalty accumulated as a percentage of total compliance team expenditure.
• Process Improvement Recommendations – The average number of process enhancement suggested at the accomplishment of an internal compliance assessment.
• Insurance Regulatory Reporting Cycle Time – The average number of calendar days needed to accomplish an insurance administrative report.
• Average Rework Cost – The total cost of revising financial statements due to errors divided by the number of statements revised.
• Compliance Improvement Initiatives – The total number of ongoing internal compliance enhancement during the preceding year.
• Average Investigation Cycle Time – The average number of business days needed to conduct an investigation against the firm.
• Security Incident Downtime – The total number of minutes of system unavailability due to a security issue or event during the year.
• Number of Annual External Complaints – The average yearly number of complaints issued against the firm with external organizations.
• Total HR Regulatory Compliance Expense – The total expenditure budgeted for HR administrative compliance within a year.
• Total Regulatory Compliance Expense – The total expenditure budgeted for administrative compliance for the preceding year.
• Projects Delayed – The total number of internal programs interrupted due to compliance concerns within a year.
• Major Internal Compliance Breaches – Total number of large-scale internal compliance violation during the preceding year.
• Number of Investigations – The average yearly number of ongoing investigations against the firm.
• Insurance Regulatory Report Quantity – The total number of insurance administrative reports issued annually.
• Number of Annual Internal Complaints – The average yearly number of complaints issued internally.

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• Percentage of Improvement Opportunities Implemented – The percentage of growth opportunities that were detected in an assessment and executed within a year from the finalization of the assessment versus the total number of growth opportunities detected.
• Change Request Issue Resolution Rate – The percentage of change request concerns solved due to IT compliance audit and recommendations in conformity to the change management process versus the total number of change request concerns.
• On-Time Insurance Regulatory Reporting Rate – The percentage of insurance administrative reports accomplished on schedule within each regular cycle time of quarter-end and year-end versus the total number of reports.
• Percentage of Escalated Compliance Issues – Percentage of compliance issues turned over to the compliance committee versus the total number of compliance issues.
• Average Time to Implement – New Regulation – The average number of business days needed to enforce a new rule or regulation in the firm after it went through government review.
• On-Time Financial Report Percentage – The percentage of financial reports filed on schedule versus the total number of financial reports filed.
• Compliance Training Expense per FTE – The total amount used on compliance training for staff divided by the total number of firm-wide full-time equivalent employees.
• Improper Configuration of Assets – the total number of business compliance concerns as a result of wrong distribution of assets during the preceding year.

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• Percentage of Strategic Objectives Achieved – The percentage of strategic objectives accomplished within the preceding year versus the total number of strategic efforts initiated, based on the yearly management plan high-level objectives.
• Total Regulatory Compliance Expense as a Percentage of Total Expense – The percentage of expenditure budgeted for HR administrative compliance versus the total operating costs for  the preceding year.
• Regulatory Compliance Expense per FTE – The total expenditure on providing administrative compliance during the preceding year divided by the total number of firm-wide full-time equivalent employees at the end of the year indicated.
• Regulatory Report Creation Cycle Time – The average amount of time (in days) required to accumulate information, generate, and file an administrative report (categorize  by report type; financial, technological, environmental).
• Regulatory Compliance Expense per Regulatory Compliance Employee – The total expenditure in offering HR administrative compliance during the preceding year divided by the total number of HR administrative compliance staff at the end of the year mentioned.
• Number of Annual Securities Compliance Issues – The total number of compliance issues related to security that are reported by the compliance office during a particular year.
• Financial Statement Accuracy – The percentage of financial statements submitted that do not need revision versus the total number of statements submitted.
• Non-Compliance Cost Percentage – The percentage of penalties acquired for non-adherence to regulations per total compliance team expenditure.
• External Training Budget per Employee – The total external training budget divided by the total number of firm-wide full-time equivalent staff.
• HR Compliance Headcount Ratio – The total number of firm-wide staff divided by the number of HR compliance full-time equivalent staff.
• IT Security Expense to IT Asset Value Ratio – A benchmark of total IT security expenditure related to the total value of IT resources under management.
• Reporting Expense as a Percentage of Total Compliance Expense – Total administrative reporting expenditure (salary, materials, etc.) as a percentage of total compliance team expenditure.
• Ratio of Firm-Wide Employees to Compliance Employees – The total number of firm-wide staff divided by the number of compliance full-time equivalent staff.
• Percentage of Downtime Due to Security Incidents (by system) – The percentage of outage duration (categorized by IT system) that was due to a security violation or event.
• Regulatory Reporting Expense as a Percentage of Total Expenses – The compliance administrative reporting expenditure as a percentage of total operating cost.
• Internal Audit Cycle Time – The average amount of time (in days) needed to conduct a complete internal audit (categorized by audit type).
• On-Time Regulatory Compliance – The percentage of new regulations that were complied to on schedule versus the total number of new regulation during the preceding year.
• Number of Compliance Personnel in HR – The total number of HR staff nominated to attend to compliance adherence.

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• Increase in the overall change success rate – The increase in the overall change success rate is defined as the overall success rate of the change implementation program. It is a qualitative measurement and is tracked either by a Request for Comments (RFC) or a review.
• Number of changes following the lead time process – The number of changes following the lead time process measures how many changes or iterations of the change management program have been implemented before the life cycle of change implementation has been completed, and after it has started.
• Reduction in the number of incidents attributing to changes – The reduction in the number of incidents attributed to changes metric measures whether there has been an overall decrease in the number of incidents that prompted the change management program. This KPI measures how successful the change management implementation has been.
• Changes performed during business hours – The changes performed during business hours KPI measures the success of the changes that have to be implemented during working hours. This is because of the unavailability of various teams, constrained resources, or infrastructure critical to operational functioning during business hours.
• Number of emergency changes performed with or without incident – The number of emergency changes performed with or without incident KPI measures the number of emergency change requests submitted within a specific time frame. Change management requests are aimed at helping management understand the need for improvement and any service flaws, including hardware upgrades, lead time issues, or maintenance issues.
• Percentage of unauthorized changes – The percentage of unauthorized changes KPI measures the rate of the number of changes that were not authorized within a specific time frame. Any changes implemented without an accompanying, registered, approved change request is considered unauthorized.
• Percentage of incidents caused by changes – The percentage of incidents caused by changes KPI measures the percentage of the number of incidents caused by the implementation of a change in a given period.
• Percentage of emergency changes – The percentage of emergency changes KPI measures the percentage of the total number of emergency changes that have been completed and closed in a given period.
• Percentage of successful changes – The percentage of successful changes KPI measures the percentage of the total number of closed changes successfully implemented in a given period.
• Percentage of backed out changes – The percentage of the backed out changes KPI measures the percentage of the total number of closed changes for which a remedy plan is implemented within a given period.
• Percentage of rejected changes – The percentage of rejected changes KPI measures the percentage of the total number of closed changes denied within a given period.
• Average time per phase – The average time per phase KPI measures the average amount of time spent on each of the distinct change phases in a given period. Large change management requests often get broken down into different phases to expedite and improve the management process.
• Performance results – The performance results KPI measures the improvement in performance as a consequence of the implemented change management program.
• Effectiveness of training and communication – The effectiveness of training and communication KPI measures how effective the training and communication was conducted as part of the change implementation process. If employees received adequate training on the new systems and the need for the change was effectively communicated, the business will benefit from the change.
• Participation in training sessions and meetings – The participation in training sessions and meetings metric measures the number of employees that participated in both the change’s training sessions and meetings. A high participation rate translates into the successful implementation of the change request.
• Adherence to the project plan – Change management programs and project plans go hand-in-hand. A project plan is usually used to implement a significant change request to ensure it is completed on time and under budget. The adherence to project plan KPI measures the extent to which the change implementation adhered to the accompanying project plan.
• Project goal performance – The project goal performance metric measures how well the implementation of the change request’s project plan’s individual goals are met on time and within budget.

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