Creating compliance checklists for industry regulations

How to use AI to create industry regulation compliance checklists for operational integrity.

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Ensuring your company adheres to relevant industry regulations and laws is crucial for avoiding legal pitfalls and maintaining your company’s integrity. A well-crafted compliance checklist can be your roadmap to navigating the complex landscape of laws and regulations.

This tutorial will walk you through creating a comprehensive compliance checklist using AI, specifically ChatGPT, making this task more manageable and effective.

First things first, pinpoint the regulations that impact your business. If that’s a daunting task, don’t worry. You can consult with legal experts, tap into industry associations, or exploring regulatory information online. For this tutorial, let's say we're a SaaS company in the U.S. with an eye on the California Consumer Privacy Act (CCPA).

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Tip: In this tutorial, we’re leveraging a GPT in ChatGPT. You can read more about GPTs and how they work in our guide.

Does the CCPA affect us?

To kick things off, let’s use the Legal+ GPT to ask if the CCPA applies to us and how:

As a [company type] company acting as a data processor of consumer personal information, when does the [regulatory act] apply to our company and what are the applicable regulation requirements for us?

Crafting your compliance checklist

Based on this, I would likely preface my checklist to include the applicability requirements so any one person reviewing it knows to check that one of those three requirements are true on a regular basis. Otherwise, let’s ask ChatGPT to turn this into a checklist by business function.

Can you turn this into a checklist, organizing each requirement by business function within an organization?

While this is a nice comprehensive checklist, some of these action items might encompass multiple steps within a department or across departments. For example, “Ensure that agreements with third parties, like partners or vendors, comply with CCPA requirements regarding the processing of personal information.” could be a complex endeavor involving at least Sales and Legal teams.

Breaking down complex tasks

Let’s now ask ChatGPT to break this down into a 14-day action plan.

Can you break this item into a 14-day action plan: Ensure that agreements with third parties, like partners or vendors, comply with [regulatory act] requirements regarding [action requiring regulation].

Implementing your checklist

By segmenting each compliance task, you not only make the checklist more user-friendly but also set a solid foundation for addressing new regulations as they arise. This proactive approach ensures your business remains compliant, avoiding last-minute scrambles when laws change.

Creating a compliance checklist might seem daunting at first, but with AI’s assistance and a structured approach, you can ensure your business navigates regulatory waters with confidence. Remember, compliance is an ongoing journey, not a one-time task. Regular reviews and updates to your checklist will keep your operations smooth and compliant.

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