Business Process Compliance Checklist

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1.    Define Business Process Compliance.

• Document process compliance requirements and definitions
• Establish regular risk assessment and monitoring activities to ensure policies and controls that maintain business process integrity are in place and working fine
• Identify process compliance risk area
• Be sure this area is monitored for internal and external changes that may generate new compliance risks
• Provide a single cohesive programme for managing process compliance in a 360-degree view through  scheduling compliance reporting, risk assessments, process controls, business analysis
• Have documented and up-to-date policies and procedures for addressing compliance issues and risks
• Schedule internal audits and inspections to check current state of your business processes against compliance requirements
• Establish due diligence effort that ensures your business does not engage any individuals or organizations that have a bent towards unethical and undesired behavior
• Be sure existing employees have right background, resources, and experience to do their jobs related to your business process
• Provide training to personnel to raise compliance and ethics awareness
• Consider using interactive technologies and learning simulations for staff training
• Communicate corporate culture, obligations, and expectations across employees to ensure their right understanding of the business process

2.    Reach Business Process Compliance.

• Perform surveys, self-assessments, and automated assessments for regular compliance risk monitoring
• Enforce the process environment through defining how your company should behave to support compliance obligations and policies
• Ensure process controls are in place and operating as desired, so any time an issue arises there are corrective actions to solve this issue
• Engage workers in reporting process concerns, weaknesses and wrongdoing
• Communicate reports to senior management for further audit and decision making
• Conduct investigations (e.g. hotline analysis, management reporting, process audit, interviews) to identify potential incidents of wrongdoing and quickly and effectively resolve noncompliance issues
• Have effective channels of communication....

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