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Compliance Readiness Checklist

A checklist to assess readiness for compliance with a regulatory or ISO-standard requirement.

Compliance Readiness Checklist

A checklist to assess readiness for compliance with a new or existing regulatory or ISO-standard requirement.

Understanding the requirement

  • [ ] The obligation is identified and its source documented
  • [ ] Applicability to the organization is confirmed
  • [ ] Obligation owner is assigned

Gap assessment

  • [ ] Current state is documented
  • [ ] Gaps against the requirement are identified
  • [ ] Impact of each gap is assessed

Remediation

  • [ ] Remediation actions are defined with owners and dates
  • [ ] Controls are designed or updated
  • [ ] Training is delivered to affected staff
  • [ ] Evidence of compliance is captured

Assurance

  • [ ] Internal review or audit is scheduled
  • [ ] Reporting to the board/committee is arranged
  • [ ] Monitoring of ongoing compliance is established

Notes

  • Prioritize by impact and likelihood of non-compliance
  • Maintain an obligation register to track changes
  • Re-assess after significant regulatory or operational change

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