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Home > Directors & Officers Liability: Risk Check Survey

Directors & Officers Liability: Risk Check Survey

The Risk Check Survey encompasses the degree to which your firm provides comprehensive policies, programs, and training focused on protecting your organization.
Date*
Date Format: MM slash DD slash YYYY
Organization Name*
Person Completing Survey*
Title*
Phone*
Email*
Rate the effectiveness or success of the organization’s actions:
1. To what degree do your organization’s directors refrain from usurping business opportunities which the corporation is financially able to exploit?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
2. To what extent have all directors disclosed to the board, in writing, all potential conflicts of interest and given detailed disclosures for actual conflicts of interest?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
3. How effective is your organization at putting quality control procedures and policies in place?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
4. To what extent do your board members review written descriptions of each position’s responsibilities?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
5. To what degree does your organization’s board fully document the business reason for taking action that could adversely affect a minority of shareholders?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
6. If the board is defending against a hostile takeover, how effective is your board at fully documenting the business reasons for the actions?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
7. How would you rate your board’s ability to appoint a special litigation committee to ensure you resolve a shareholder demand without litigation successfully? *
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
8. To what extent does your board consult closely with an attorney if the corporation is near insolvency or if its authority has been suspended?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
9. If in bankruptcy, how effective is your board at continuing the due diligence or the winding up process and at continuing to document the business reasons for all decisions?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
10. How would you rate your directors at avoiding personal guaranties whenever possible?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
11. To what extent are your directors accurate in written representations to customers, competitors, and government agencies, retaining experts for advice before completing the documents?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
12. If the business provides customers high-exposure advice, how effective is your board at documenting all verbal warnings to the customer?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
13. To what degree does your organization consult closely with counsel when making decisions affecting employee benefits?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
14. If allowed by state law, to what extent will your board request shield and indemnification provisions in the articles of incorporation and bylaws for both directors and officers?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
15. How effective is your organization at obtaining Directors and Officers Liability Insurance?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
16. To what extent will board members be individually polled when completing warranty statements on insurance applications?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
17. If allowed by state law, to what degree does the board request shield and indemnification provisions in the articles of incorporation and bylaws for both directors and officers?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
18. How would you rate your organization’s review of the D&O and other liability policies with your organization’s insurance agent or broker to ensure maximum limits and coverage for internal claims?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
19. How effective is your board at promptly notifying counsel and insurers of outsider complaints that may lead to litigation when appropriate?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE
20. To what degree does your organization ask in-house or outside counsel to provide a periodic “preventive maintenance” review of claim-prevention procedures?*
- N/A
- INEFFECTIVE
- MARGINALLY EFFECTIVE
- MODERATELY EFFECTIVE
- EFFECTIVE
- HIGHLY EFFECTIVE

IQRM Surveys Available for the Following Risk Issues:

Business Continuity: Risk Check Survey
Employment Practices Liability: Risk Check Survey
Discipline and Termination: Risk Check Survey
Cyber Liability: Risk Check Survey
Workers’ Compensation: Risk Check Survey
Products Liability: Risk Check Survey
Professional Liability: Risk Check Survey
Recruitment, Selection & Hiring: Risk Check Survey
Substance Abuse: Risk Check Survey
Wage and Hour: Risk Check Survey
Workplace Discrimination: Risk Check Survey
Workplace Safety: Risk Check Survey
Workplace Sexual Harassment: Risk Check Survey
Claims Management: Risk Check Survey
Directors & Officers Liability: Risk Check Survey
Environmental Liability: Risk Check Survey
Fleet Safety: Risk Check Survey
General Liability: Risk Check Survey
Medical Malpractice: Risk Check Survey
Pre-Employment Screening: Risk Check Survey
Product Contamination & Recall: Risk Check Survey

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