Compliance and Risk Snapshot.

Put your whole compliance picture on one page: what you can find, what you cannot, the dates on anything time-bound, and where you feel exposed.

At the very start of the diagnostic, before you try to name what is wrong. A record you cannot find is itself a finding, so mark it missing rather than skipping it.

What you can put your hands on

Last annual return to the taxing authority, and its date

Incorporation document and any registrations, and where

Insurance policies you carry

Governance policies you have adopted

Any letters or notices from a regulator, the state, or a funder about compliance

Any audit or review reports

What you cannot find. List anything above you could not locate. Treat each as a gap until shown otherwise

Anything time-bound or urgent: any deadline, renewal, or response date coming up or already passed

Anything that feels like it is already on fire (a notice, an investigation, an overdue return, a safety concern)

Where you feel exposed. Every place you have a nagging sense of legal or compliance exposure, even vague ones

Two flags to carry forward: anything on fire goes to the acute-problem gate in the diagnostic, and anything you could not find is treated as not done until proven otherwise.

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