Compliance health check: a 20-point self-assessment checklist
Use this checklist to test whether your organisation knows its obligations, has assigned them, can evidence them and monitors them. Free to download and apply immediately.
Free resource
Download and apply it in your organisation today.
Compliance failures rarely happen because nobody cared. They happen because an obligation was never written down, never assigned, or never checked. This 20-point checklist tests the four things every compliance system needs.
How to use it
Answer each question honestly with Yes, Partly or No. Any "No" is a gap; any "Partly" deserves a closer look. The checklist takes 20 minutes and works for organisations of any size.
The four areas
1. Identify
Do you have a complete list of the laws, regulations, licences, permits and contractual obligations that apply to you, and is it reviewed when the business or the law changes?
2. Assign
Does every obligation have a named owner with the authority and time to meet it? Do owners know they own it?
3. Evidence
Could you show an inspector, auditor or investor the evidence that each obligation is met, within a day, without a scramble?
4. Monitor and report
Is there a calendar of recurring deadlines, a routine check that they are met, and a report to management or the board on compliance status and breaches?
After the checklist
If you scored mostly "Yes", formalise what you have into a compliance register and calendar so it survives staff changes. If you scored several "No" answers, a compliance health check can help you build the register and the routines in a few weeks.