Is Your Compliance System Actually Working?

Most compliance systems appear to work.

Until they are tested.

Use this to assess whether your system is operational or fragile.

Execution

• Controls run on defined schedules without reminders
• Tasks are completed without follow-ups
• Work continues even when no audit is upcoming

Ownership

• Every control has a single accountable owner
• Ownership does not change frequently
• New team members inherit responsibilities without disruption

Evidence

• Evidence is generated during execution
• No manual collection is required before audits
• Historical records exist without gaps

Coordination

• Minimal back-and-forth required to complete tasks
• No dependence on Slack or email follow-ups
• Status is derived from systems, not manually updated

Consistency

• Controls execute the same way every time
• No variation across teams or time periods
• No last-minute fixes before audits

System Dependence

• Removing one person does not break execution
• Compliance does not depend on memory
• Tasks are triggered by systems, not individuals

Audit Behavior

• Audit preparation requires minimal additional work
• Evidence already exists before audit begins
• No spike in activity before deadlines

Result

If multiple items above fail, the system is not stable.

It is being held together through coordination.

A working system does not require effort to appear compliant.

It remains compliant through how it operates.