This Compliance Program Checklist may be used as a checklist for tracking the progress of developing a compliance program for an organisation following Australian and International Standards for Compliance Management Systems.
This Compliance Program Checklist is intended for the individual responsible and accountable for overall compliance of the organisation to establish and implement the compliance program effectively.
The individual will need to determine an organisational structure for compliance, scope, establish policies and standards, create compliance documentation, set up compliance training and more.
The compliance program structure is flexible in that it is possible to work around the organisation’s existing processes and improve on such processes rather than to start from scratch.
This Compliance Program Checklist is suitable for organisations of all sizes.
Compliance program checklist
The purpose of a compliance program is to enable an organisation to comply with its regulatory obligations and other compliance commitments including commitments arising from contracts, leases, industry standards and more.
The approach used to develop, implement, maintain and monitor a compliance program follows the International Standard Plan Do Check Act (PDCA) model as described in the Compliance Management Framework.
The steps outlined below represents a checklist of action items to be completed by the Compliance Officer or the individual responsible for overall compliance of the organisation.