Demonstrating Your Compliance

Use these helpful tools to share your ALTA Best Practices compliance achievements with lenders and other third parties.

Some of these documents are only available to ALTA Members and Full Best Practices Subscribers (marked [M]), Assessment Readiness Guide Subscribers (marked [A]) and Compliance Management Report Subscribers (marked [C]).

If you are not an ALTA member and would like to purchase a Best Practices Subscription, please visit our Publications Page and select the Best Practices Subscription that best suits the needs of your company.

If you are a member or subscriber, Please Log In.


  • NEW! Best Practices - Implementation Process Overview - Flowchart (Single Page, 08-27-2021 v1.8)

    Implementation Process overview document.  Some hyperlinked documents can only be accessed by logged-in ALTA members.  Holding down "Ctrl" while clicking on a link opens the link in a new window.


  • ALTA Best Practices Framework - Assessment Procedures V3.0 (07-08-2020)

    Utilize these ALTA Best Practices Assessment Procedures to determine compliance with the ALTA Best Practices.

    • For Assessment Procedures with no defined sample size or tolerance, 100% compliance with each Assessment Procedure tested is required to be considered “Optimized.”  For Assessment Procedures with defined sample sizes and tolerance levels, results must be within the tolerance level to be considered “Optimized.”
    • If all Assessment Procedure results are “Optimized,” then agent is fully compliant with the ALTA Best Practices.
    • If results are not “Optimized” for any Assessment Procedure, refer to the ALTA Best Practices Maturity Model to develop a progress plan.

  • Best Practices Compliance Management Report [M]

    The Compliance Management Report is a high level report that companies complete to provide the results of a self assessment to lenders or other third parties. Users must first complete a self assessment using the Assessment Readiness Guides before completing this Report. The Report also allows a company to attest that it meets all of the Best Practices standards.


  • ALTA Best Practices Maturity Model [M] [C]

    Download the ALTA Best Practices Maturity Model


  • Maturity Model Explainer

    This document provides detailed information about what the Maturity Model is and how to use this new assessment reporting tool.


  • ALTA Best Practices Representation Letter V 2.5 10-13-2017

  • Reports from a Certification Specialist
    **This information is intended to be informational only**

    Based on the lender's vendor management policies and guidelines, a company may be asked to engage a third party certification specialist to issue a report to support the company's self assessment results. Please consult with your lender partners before electing to engage a certification specialist to perform an assessment of your compliance with the Best Practices standards. In choosing a certification specialist to conduct a Best Practices assessment of your company, you should be sure to select a third party who is acceptable to your lender partners and will produce a report that will provide adequate assurance to your lender partners.

    ALTA does not issue any Best Practices assessment reports or certifications, nor does ALTA review any reports produced by companies themselves or third parties. ALTA does not have a list of preferred vendors or third party assessment companies. You should select a certification specialist that will best fit the needs of your company.



Key Documents

Some of these documents are only available to ALTA Members and Full Best Practices Subscribers (marked [M]), Assessment Readiness Guide Subscribers (marked [A]) and Compliance Management Report Subscribers (marked [C]).

If you are not an ALTA member and would like to purchase a Best Practices Subscription, please visit our Publications Page and select the Best Practices Subscription that best suits the needs of your company.

If you are a member or subscriber, Please Log In.


FAQ Portal

To help ensure industry receives consistent guidance about the Best Practices, ALTA will be publishing answers to frequently asked questions on its FAQ Portal. If you do not see an answer to your question, you can fill out the FAQ Question Form below.

Go To the Portal


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