Workforce compliance

• Do we have a clear, current register of staff and volunteers showing required checks, training and qualifications?
  
• How do we track when clearances, visas, registrations or training need renewal?
  
• Who is responsible for maintaining workforce compliance records, and how often are they reviewed?
  
• Are onboarding and induction processes consistent across all programs and sites?
  
• If we were asked for workforce evidence tomorrow, could we produce it quickly?
  

Funding and reporting

• What reporting obligations apply to each funding stream we receive?
  
• Do we have a central calendar or system tracking reporting deadlines and requirements?
  
• Who signs off on reports before submission, and how is accuracy checked?
  
• Are program outputs and outcomes supported by verifiable data?
  
• Have there been any recent variations to funding agreements or reporting expectations?
  

Documentation and evidence

• Where are key compliance and program records stored?
  
• Are documents organised in a way that someone unfamiliar with the program could follow?
  
• How do we ensure documents are complete, up to date and accessible when needed?
  
• Is there a consistent approach to file naming, storage and retention?
  
• Do we periodically test whether evidence can be located quickly?
  

Audit readiness

• When was our last internal or external audit or review?
  
• What were the key findings and have they been addressed?
  
• Do we maintain an “audit-ready” set of core documents?
  
• If a funder requested information with short notice, how prepared would we be?
  
• Who coordinates audit responses and information gathering?
  

Risk visibility

• What compliance or funding risks are currently on our risk register?
  
• Are there any areas where documentation or processes are still being strengthened?
  
• How are emerging risks identified and escalated to the board?
  
• Do we receive regular, structured compliance updates?
  
• Are there any known gaps we are actively working to close?
  

Internal oversight

• Is there a clear internal owner for compliance oversight?
  
• How often does management review compliance systems and records?
  
• Do we have simple reporting to the board that highlights status and risks?
  
• Are policies and procedures current and being followed in practice?
  
• Do staff know where to go if they are unsure about compliance requirements?