10 Rules to Judge Any Compliance System
A set of simple rules to evaluate whether a compliance system is operational or fragile.
-
If tasks require reminders, execution is not system-driven.
-
If ownership is shared, accountability is unclear.
-
If evidence is collected before audits, execution is not continuous.
-
If status is updated manually, the system is not the source of truth.
-
If work increases before deadlines, the system is reactive.
-
If removing one person breaks the system, it is not durable.
-
If controls need interpretation, they are not operational.
-
If approvals happen outside defined workflows, controls are not enforced.
-
If multiple tools are required to complete one control, coordination overhead is high.
-
If compliance stops when pressure is removed, it is not embedded.
Each rule points to the same issue.
Execution is not enforced.
A working system does not rely on exceptions.
It minimizes them by design.