{"id":31195,"date":"2023-09-04T04:13:00","date_gmt":"2023-09-04T04:13:00","guid":{"rendered":"https:\/\/www.process.st\/templates\/compliance-checklist\/"},"modified":"2024-03-05T13:54:01","modified_gmt":"2024-03-05T13:54:01","slug":"compliance-checklist","status":"publish","type":"post","link":"https:\/\/www.process.st\/templates\/compliance-checklist\/","title":{"rendered":"Compliance Checklist"},"content":{"rendered":"\n<section id=\"identify-the-type-of-compliance-needed\"> \n <h2>Identify the Type of Compliance Needed<\/h2>\n <div class=\"text-content\">\n   This task aims to determine the specific type of compliance that is required. It involves identifying the relevant regulations, laws, or standards that apply to the organization. The expected outcome of this task is a clear understanding of the compliance requirements that need to be addressed. \n <\/div> \n <div class=\"select-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Type of Compliance <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Data Protection \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Health and Safety \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Financial Regulations \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       4 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Environmental Regulations \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       5 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Employee Rights \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"review-existing-compliance-documents\"> \n <h2>Review Existing Compliance Documents<\/h2>\n <div class=\"text-content\">\n   In this task, existing compliance documents are reviewed to assess their effectiveness and relevance. The goal is to identify any gaps or areas for improvement. The outcome of this task is an evaluation of the existing compliance documents and recommendations for updates or enhancements. \n <\/div> \n <div class=\"file-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Existing Compliance Documents <\/label> \n   <div class=\"file-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"obtain-review-and-discuss-latest-legal-requirements\"> \n <h2>Obtain, Review and Discuss Latest Legal Requirements<\/h2>\n <div class=\"text-content\">\n   This task involves obtaining and reviewing the latest legal requirements related to compliance. It also includes discussing the implications of these requirements with relevant stakeholders. The desired outcome is a comprehensive understanding of the legal landscape and its impact on compliance procedures. \n <\/div> \n <div class=\"file-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Latest Legal Requirements <\/label> \n   <div class=\"file-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n <div class=\"members-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Stakeholders <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"prepare-a-compliance-audit-plan\"> \n <h2>Prepare a Compliance Audit Plan<\/h2>\n <div class=\"text-content\">\n   The purpose of this task is to create a plan for conducting a compliance audit. This plan should outline the objectives, scope, methodology, and timeline of the audit. The expected outcome is a well-defined audit plan that can be executed effectively. \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Audit Plan Objective <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"date-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Audit Start Date <\/label> \n   <div class=\"date-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-calendar btn-icon\"><\/i> Date will be set here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n <div class=\"date-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Audit End Date <\/label> \n   <div class=\"date-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-calendar btn-icon\"><\/i> Date will be set here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"execute-the-compliance-audit-plan\"> \n <h2>Execute the Compliance Audit Plan<\/h2>\n <div class=\"text-content\">\n   In this task, the compliance audit plan is put into action. The audit is conducted according to the defined objectives, scope, methodology, and timeline. The desired result is a thorough assessment of the organization's compliance with the identified regulations or standards. \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Audit Findings <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"gather-and-verify-relevant-documentation\"> \n <h2>Gather and Verify Relevant Documentation<\/h2>\n <div class=\"text-content\">\n   This task involves collecting and verifying the documentation required for compliance. It includes identifying the necessary records, gathering them from relevant sources, and ensuring their accuracy and completeness. The outcome of this task is a collection of verified and organized documentation. \n <\/div> \n <div class=\"file-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Relevant Documentation <\/label> \n   <div class=\"file-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"record-findings\"> \n <h2>Record Findings<\/h2>\n <div class=\"text-content\">\n   The purpose of this task is to record the findings from the compliance audit. This includes documenting any non-compliance issues, areas of improvement, and good practices. The desired outcome is a clear and comprehensive record of the audit findings. \n <\/div> \n <div class=\"textarea-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Audit Findings <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"approval-audit-findings\"> \n <h2>Approval: Audit Findings<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Execute the Compliance Audit Plan<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"prepare-compliance-report\"> \n <h2>Prepare Compliance Report<\/h2>\n <div class=\"text-content\">\n   In this task, a compliance report is prepared based on the findings of the audit. The report should include an executive summary, detailed analysis, recommendations, and an action plan for addressing non-compliance issues. The outcome of this task is a well-structured and informative compliance report. \n <\/div> \n <div class=\"textarea-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Compliance Report <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"identify-and-correct-noncompliance-issues\"> \n <h2>Identify and Correct Non-compliance Issues<\/h2>\n <div class=\"text-content\">\n   This task focuses on identifying and addressing non-compliance issues identified during the audit. It includes analyzing the root causes, developing corrective actions, and implementing them to ensure compliance. The desired outcome is the resolution of non-compliance issues and the establishment of processes to prevent recurrence. \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Non-compliance Issues <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"text-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Root Cause <\/label> \n   <input type=\"text\" placeholder=\"Something will be typed here...\" disabled class=\"form-control\"> \n  <\/div> \n <\/div> \n <div class=\"textarea-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Corrective Actions <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"delegate-responsibility-for-ongoing-compliance-monitoring\"> \n <h2>Delegate Responsibility for Ongoing Compliance Monitoring<\/h2>\n <div class=\"text-content\">\n   In this task, responsibility for ongoing compliance monitoring is assigned to specific individuals or teams. This includes defining roles and responsibilities, establishing communication channels, and providing necessary training and resources. The outcome of this task is a clear and effective framework for ongoing compliance monitoring. \n <\/div> \n <div class=\"members-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Responsible Individuals or Teams <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"approval-delegate-for-compliance-monitoring\"> \n <h2>Approval: Delegate for Compliance Monitoring<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Delegate Responsibility for Ongoing Compliance Monitoring<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"set-and-monitor-compliance-reporting-schedule\"> \n <h2>Set and Monitor Compliance Reporting Schedule<\/h2>\n <div class=\"text-content\">\n   The purpose of this task is to establish a reporting schedule for compliance activities. This includes defining reporting deadlines, selecting appropriate reporting tools or systems, and monitoring compliance with the schedule. The desired outcome is a well-managed and timely compliance reporting process. \n <\/div> \n <div class=\"date-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Reporting Deadline <\/label> \n   <div class=\"date-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-calendar btn-icon\"><\/i> Date will be set here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n <div class=\"select-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Reporting Tool <\/label> <select disabled class=\"form-control\"> <option value=\"An option will be selected here\">An option will be selected here<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Spreadsheets \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Compliance Management Software \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Email Notifications \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"discuss-findings-and-recommendations-with-stakeholders\"> \n <h2>Discuss Findings and Recommendations with Stakeholders<\/h2>\n <div class=\"text-content\">\n   This task involves engaging with relevant stakeholders to discuss the findings and recommendations from the compliance audit. It includes scheduling meetings, presenting the audit results, answering questions, and obtaining feedback. The outcome of this task is a shared understanding of the compliance status and alignment on the recommended actions. \n <\/div> \n <div class=\"members-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Stakeholders <\/label> <select disabled class=\"form-control\"> <option value=\"A member or group will be selected here\">A member or group will be selected here<\/option> <\/select> \n  <\/div> \n <\/div> \n <div class=\"textarea-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Meeting Notes <\/label> <textarea placeholder=\"Something will be typed here...\" rows=\"3\" disabled class=\"form-control\"><\/textarea> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"approval-stakeholder\"> \n <h2>Approval: Stakeholder<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Discuss Findings and Recommendations with Stakeholders<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"implement-compliance-regulation-changes\"> \n <h2>Implement Compliance Regulation Changes<\/h2>\n <div class=\"text-content\">\n   In this task, changes to compliance regulations or standards are implemented in the organization. This includes updating policies, procedures, and practices to align with the revised requirements. The desired outcome is the successful implementation of the necessary changes to maintain compliance. \n <\/div> \n <div class=\"file-field-content form-field-content\"> \n  <div class=\"form-group\"> <label> Compliance Regulation Changes <\/label> \n   <div class=\"file-container\"> <button type=\"button\" disabled class=\"btn btn-default\"> <i class=\"fa fa-upload btn-icon\"><\/i> File will be uploaded here <\/button> \n   <\/div> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"review-compliance-training-program\"> \n <h2>Review Compliance Training Program<\/h2>\n <div class=\"text-content\">\n   This task focuses on reviewing the compliance training program in place. It includes assessing its effectiveness, identifying any gaps or weaknesses, and updating the training content or delivery methods as needed. The outcome of this task is an improved and robust compliance training program. \n <\/div> \n <div class=\"multi-choice-content form-field-content\"> \n  <div class=\"form-group\"> <label> Training Areas to Review <\/label> <select disabled class=\"form-control\"> <option value=\"\">Multiple options can be selected from this list<\/option> <\/select> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Code of Conduct \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Data Privacy \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Whistleblowing \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       4 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Anti-bribery \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       5 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Conflict of Interest \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"approval-training-program\"> \n <h2>Approval: Training Program<\/h2>\n <div class=\"approval-content\"> \n  <div class=\"header\"> \n   <div class=\"list-title\">\n    Will be submitted for approval:\n   <\/div> \n  <\/div> \n  <div class=\"approval-rule-subject-tasks-list\"> \n   <ul class=\"list\"> \n    <li> \n     <div class=\"approval-rule-subject-tasks-list-item\"> \n      <div class=\"item\"> \n       <div class=\"container\"> <span class=\"title\">Review Compliance Training Program<\/span> \n        <div class=\"body\">\n         Will be submitted\n        <\/div> \n       <\/div> \n      <\/div> \n     <\/div> <\/li> \n   <\/ul> \n  <\/div> \n <\/div> \n<\/section> \n<section id=\"set-up-continuous-compliance-evaluation-progress\"> \n <h2>Set up Continuous Compliance Evaluation Progress<\/h2>\n <div class=\"text-content\">\n   In this task, a framework for continuous compliance evaluation is established. It includes defining evaluation criteria, setting up monitoring mechanisms, and establishing a feedback loop for continuous improvement. The desired outcome is an ongoing process to assess and enhance compliance effectiveness. \n <\/div> \n <div class=\"multi-select-content form-field-content\"> \n  <div class=\"form-group\"> <label> Evaluation Criteria <\/label> \n  <\/div> \n  <ul class=\"items\"> \n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       1 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Compliance policies and procedures \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       2 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Employee awareness and training \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       3 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Monitoring and reporting mechanisms \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       4 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Non-compliance handling procedures \n    <\/div> <\/li>\n   <li class=\"item\"> \n    <div class=\"step-number-container\"> \n     <div class=\"step-number\">\n       5 \n     <\/div> \n    <\/div> \n    <div class=\"step-checkbox-container\"> \n     <div class=\"step-checkbox\"><\/div> \n    <\/div> \n    <div class=\"item-name-static\">\n      Document control and record keeping \n    <\/div> <\/li> \n  <\/ul> \n <\/div> \n<\/section> \n<section id=\"finalize-and-submit-compliance-report\"> \n <h2>Finalize and Submit Compliance Report<\/h2> \n<\/section>\n","protected":false},"excerpt":{"rendered":"<p>Identify the Type of Compliance Needed This task aims to determine the specific type of compliance that is required. It involves identifying the relevant regulations, laws, or standards that apply to the organization. The expected outcome of this task is a clear understanding of the compliance requirements that need to be addressed. Type of Compliance [&hellip;]<\/p>\n","protected":false},"author":3,"featured_media":0,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"ep_exclude_from_search":false,"cover_icon_emoji":"\u2705","cover_icon_url":"","tasks_count":"20","template_description":"","template_id":"kUhWREyGsB9uQ03lK3ZIGA","task_0":"Identify the Type of Compliance Needed","task_slug_0":"identify-the-type-of-compliance-needed","task_1":"Review Existing Compliance Documents","task_slug_1":"review-existing-compliance-documents","task_2":"Obtain, Review and Discuss Latest Legal Requirements","task_slug_2":"obtain-review-and-discuss-latest-legal-requirements","task_3":"Prepare a Compliance Audit Plan","task_slug_3":"prepare-a-compliance-audit-plan","task_4":"Execute the Compliance Audit Plan","task_slug_4":"execute-the-compliance-audit-plan","task_5":"Gather and Verify Relevant 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