What is essential when conducting interviews for compliance evaluations?

In the context of compliance evaluations, inquiring about risk and adherence to processes is fundamental. Understanding the risks related to compliance helps identify potential areas where the organization might be vulnerable. This focus allows evaluators to gather meaningful insights into how well employees understand and follow established processes.

By asking questions targeted at risk factors and compliance practices, interviewers can gauge the effectiveness of current compliance training and protocols in place. This helps ensure that the organization not only addresses past compliance failures but also proactively puts measures in place to prevent future issues. It emphasizes the importance of a culture of compliance, rather than merely focusing on historical data or personal opinions, which may not provide the necessary insights for improving compliance efforts.