Compliance Checklist

1. Purpose

The Compliance Checklist is designed to ensure that RHU adheres to all relevant legal and regulatory requirements, ethical standards, and organizational policies. Regular use of this checklist will help maintain compliance and support the organization’s commitment to ethical practices.

---

2. Components

A. Legal Compliance

Objective: Ensure adherence to all relevant laws and regulations.

Components:

1. Regulatory Requirements:
   • Local Laws: Compliance with Ugandan laws related to health, safety, and employment.
   • International Standards: Adherence to international regulations applicable to RHU’s operations.
2. Licensing and Permits:
   • Valid Licenses: Ensure all required licenses and permits are up-to-date.
   • Renewals: Monitor renewal dates and apply for renewals in a timely manner.
3. Documentation:
   • Records: Maintain accurate records of compliance-related documents.
   • Reports: Submit required reports to regulatory authorities as needed.

Format:

• Legal Compliance Checklist:

Compliance Area	Requirement	Status	Notes
Local Laws	Compliance with Ugandan laws
International Standards	Adherence to applicable international regulations
Licensing and Permits	Validity and renewal of licenses and permits
Documentation	Accuracy and submission of required reports

B. Ethical Standards

Objective: Adhere to ethical guidelines and standards in all organizational activities.

Components:

1. Code of Conduct:
   • Adherence: Ensure staff are familiar with and adhere to the organization’s code of conduct.
   • Training: Provide training on ethical standards and practices.
2. Conflict of Interest:
   • Disclosure: Require staff and board members to disclose any potential conflicts of interest.
   • Management: Implement procedures to manage and address conflicts of interest.
3. Ethical Practices:
   • Transparency: Promote transparency in decision-making and financial reporting.
   • Integrity: Ensure all activities are conducted with integrity and honesty.

Format:

• Ethical Standards Checklist:

Ethical Area	Requirement	Status	Notes
Code of Conduct	Adherence and training
Conflict of Interest	Disclosure and management procedures
Ethical Practices	Transparency and integrity

C. Organizational Policies

Objective: Ensure compliance with internal organizational policies and procedures.

Components:

1. Policy Adherence:
   • Policy Review: Regularly review and update organizational policies.
   • Implementation: Ensure policies are effectively implemented across the organization.
2. Internal Audits:
   • Audit Schedule: Conduct regular internal audits to assess compliance with organizational policies.
   • Findings: Document and address any findings or issues identified during audits.
3. Staff Training:
   • Policy Training: Provide training to staff on relevant organizational policies and procedures.
   • Updates: Ensure staff are informed about any changes to policies.

Format:

• Organizational Policies Checklist:

Policy Area	Requirement	Status	Notes
Policy Adherence	Review, update, and implementation
Internal Audits	Regular audits and addressing findings
Staff Training	Training on policies and updates

---

3. Implementation

A. Regular Reviews

Objective: Ensure ongoing compliance with legal, ethical, and policy requirements.

Components:

1. Review Schedule:
   • Frequency: Schedule regular reviews (e.g., quarterly) to assess compliance.
   • Scope: Review all areas of compliance, including legal, ethical, and organizational.
2. Documentation:
   • Records: Maintain detailed records of review activities and outcomes.
   • Reporting: Document and report any issues or non-compliance identified during reviews.

Format:

• Review Schedule Template:

Review Type	Date	Scope	Findings	Actions Required	Responsible Person	Status
Legal Compliance
Ethical Standards
Organizational Policies

B. Updates Based on Regulatory Changes

Objective: Ensure compliance with new or updated regulations.

Components:

1. Regulatory Monitoring:
   • Sources: Monitor sources of regulatory updates, including government and industry publications.
   • Alerts: Set up alerts for significant regulatory changes.
2. Policy Updates:
   • Review: Regularly review and update organizational policies to reflect regulatory changes.
   • Communication: Inform staff and stakeholders of any policy updates.

Format:

• Regulatory Changes Monitoring Template:

Source	Update Received	Action Taken	Responsible Person	Status
Government Agency
Industry Publication
Internal Review

C. Internal Audits

Objective: Ensure adherence to compliance requirements and identify areas for improvement.

Components:

1. Audit Planning:
   • Scope and Objectives: Define the scope and objectives of internal audits.
   • Schedule: Develop an audit schedule and assign responsibilities.
2. Audit Execution:
   • Conduct Audits: Perform internal audits according to the schedule.
   • Report Findings: Document findings and provide recommendations for improvement.
3. Follow-Up:
   • Action Plans: Develop and implement action plans to address audit findings.
   • Review: Regularly review the effectiveness of implemented actions.

Format:

• Internal Audit Planning Template:

Audit Area	Scope and Objectives	Schedule	Auditor	Findings	Status
Legal Compliance
Ethical Standards
Organizational Policies