Regulatory Compliance

□ Federal regulations identified
□ State regulations reviewed
□ Local ordinances checked
□ Industry standards applied
□ International requirements considered
□ Regulatory changes tracked
□ Compliance calendar maintained
□ Filing deadlines met
□ Licenses current
□ Permits valid
□ Registrations complete
□ Certifications maintained

Policy Compliance

□ Corporate policies current
□ Department procedures updated
□ Policy distribution tracked
□ Acknowledgments obtained
□ Training completed
□ Understanding verified
□ Exceptions documented
□ Waivers approved properly
□ Version control maintained
□ Review cycle followed
□ Updates communicated
□ Accessibility ensured

Financial Compliance

□ SOX requirements met
□ Internal controls tested
□ Financial reporting accurate
□ Tax compliance verified
□ Audit trail maintained
□ Segregation of duties
□ Authorization limits followed
□ Documentation complete
□ Reconciliations performed
□ Disclosures adequate
□ Material weaknesses addressed
□ Fraud prevention active

Data Protection

□ Privacy policies implemented
□ GDPR compliance verified
□ CCPA requirements met
□ Data classification followed
□ Consent management proper
□ Breach procedures tested
□ Retention policies followed
□ Deletion procedures working
□ Access controls adequate
□ Encryption standards met
□ Third-party agreements reviewed
□ Cross-border transfers compliant

Environmental Compliance

□ Environmental permits current
□ Emission standards met
□ Waste disposal compliant
□ Water discharge permitted
□ Air quality monitored
□ Hazardous materials managed
□ Spill prevention plans
□ Emergency response ready
□ Training records complete
□ Inspection reports filed
□ Corrective actions taken
□ Sustainability goals tracked

Health & Safety

□ OSHA standards met
□ Safety programs implemented
□ Incident reporting functional
□ Investigation procedures followed
□ Corrective actions documented
□ Training records current
□ PPE requirements met
□ Emergency procedures posted
□ Evacuation plans tested
□ First aid available
□ Industrial hygiene monitored
□ Ergonomics addressed

Employment Law

□ Equal opportunity compliance
□ Wage and hour laws followed
□ Leave policies compliant
□ Discrimination prevention active
□ Harassment training current
□ Accommodation procedures working
□ Termination procedures legal
□ Background checks compliant
□ Drug testing lawful
□ Worker classification correct
□ Union agreements honored
□ Whistleblower protections

Contract Compliance

□ Contract terms tracked
□ Performance metrics met
□ Deliverables completed
□ Payment terms followed
□ Change orders documented
□ Amendments properly executed
□ Renewal dates monitored
□ Termination clauses understood
□ Indemnification reviewed
□ Insurance requirements met
□ Dispute resolution followed
□ Audit rights preserved

Information Security

□ Security policies enforced
□ Access controls tested
□ Password requirements met
□ Encryption standards followed
□ Incident response tested
□ Vulnerability assessments done
□ Patch management current
□ Security training completed
□ Third-party risks assessed
□ Penetration testing performed
□ Compliance frameworks followed
□ Audit logs reviewed

Quality Standards

□ ISO compliance verified
□ Quality management system active
□ Process controls working
□ Product standards met
□ Service levels achieved
□ Customer requirements fulfilled
□ Supplier standards enforced
□ Inspection procedures followed
□ Non-conformance tracked
□ Corrective actions effective
□ Preventive measures implemented
□ Continuous improvement shown

Ethics & Conduct

□ Code of conduct distributed
□ Ethics training completed
□ Conflict of interest disclosed
□ Gift policy followed
□ Anti-corruption measures active
□ Hotline functional
□ Investigation procedures ready
□ Disciplinary actions consistent
□ Tone at the top positive
□ Cultural alignment verified
□ Values demonstrated
□ Integrity maintained

Monitoring & Reporting

□ Compliance metrics defined
□ KPIs tracked regularly
□ Dashboard updated
□ Exception reports reviewed
□ Trend analysis performed
□ Root cause analysis done
□ Action plans developed
□ Progress monitored
□ Escalation procedures followed
□ Board reporting completed
□ Stakeholder communication done
□ Continuous improvement pursued