ABCDEFGHIJKLMNOPQRSTUVWXYZ
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This worksheet can be used to identify all your compliance requirements and cross-reference the controls that you have in place to ensure that your employees are aware of the requirement and how you are in compliance with the requirement. This worksheet can also be used as a tool or checklist and as evidence that the compliance requirements were audited (see columns J and K). For assistance in completing this worksheet contact Berkeley Court.
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* To be determined and completed by Internal Auditor, Compliance Auditor, or Internally by the Organization
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REGIONAGENCY OR OTHER REQUIREMENTAPPLICABLE CODES OR REQUIREMENTSSOURCE OF ACCESS/RETRIEVALPERMIT, LICENSE OR CERTIFICATE NUMBERISSUE DATEPREVIOUS RENEWAL DATENEXT RENEWAL DATE METHOD OF COMPLIANCECOMPLIANT?
(Yes or No)		EVIDENCE OF COMPLIANCE
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International (import/export), federal, state, or municipalWho is agency issuing or enforcing the regulationQuote or description of the regulationURL to the Code Section (if available)What are the controls in place to ensure that the organization is complying with this requirement? Objective evidence such as observation, record review, interviews to assess awareness.
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