SayPro Risk Assessment & Compliance Checklist

Below is a SayPro Risk Assessment & Compliance Checklist that can be used to evaluate and mitigate risks, ensure compliance with internal policies, and assess potential or existing suppliers, partners, or contractors involved in goods procurement and strategic partnerships.

---

📄 SayPro Risk Assessment & Compliance Checklist

Supplier/Partner Name: [Insert Name]
Date of Assessment: [Insert Date]
Assessment Conducted By: [Insert Name, Title]
Reviewed By: [Insert Name, Title]
Department: [Insert Department]

---

📝 Section 1: Risk Identification

Risk Factor	Risk Description	Risk Likelihood (1-5)	Risk Impact (1-5)	Risk Mitigation Strategy	Responsible Party	Due Date
Legal & Regulatory Compliance	[e.g., Supplier not adhering to local or international laws]	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[Insert mitigation strategy, e.g., conduct due diligence, monitor compliance]	[Responsible Party Name]	[Due Date]
Product Quality	[e.g., Supplier consistently delivering subpar goods]	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[Insert mitigation strategy, e.g., set up regular quality inspections]	[Responsible Party Name]	[Due Date]
Financial Stability	[e.g., Supplier facing financial difficulties impacting delivery]	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[Insert mitigation strategy, e.g., review financial records, consider payment terms]	[Responsible Party Name]	[Due Date]
Operational Delays	[e.g., Supplier’s inability to meet deadlines or deliver on time]	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[Insert mitigation strategy, e.g., establish clear delivery timelines, penalties for delays]	[Responsible Party Name]	[Due Date]
Supply Chain Disruption	[e.g., Supplier facing raw material shortages or logistic issues]	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[Insert mitigation strategy, e.g., diversify suppliers, monitor inventory levels]	[Responsible Party Name]	[Due Date]
Data Security and Privacy	[e.g., Risk of data breaches, especially with digital transactions or records]	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[Insert mitigation strategy, e.g., implement data protection measures, use secure systems]	[Responsible Party Name]	[Due Date]
Environmental and Sustainability Risks	[e.g., Supplier not meeting sustainability standards, or using harmful materials]	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[Insert mitigation strategy, e.g., review supplier’s sustainability practices, compliance with environmental laws]	[Responsible Party Name]	[Due Date]
Health & Safety Compliance	[e.g., Supplier failing to meet safety standards, impacting workforce safety]	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[ ] 1/5 [ ] 2/5 [ ] 3/5 [ ] 4/5 [ ] 5/5	[Insert mitigation strategy, e.g., ensure supplier’s adherence to safety regulations, audits]	[Responsible Party Name]	[Due Date]

---

📊 Section 2: Compliance Checklist

Compliance Area	Requirement	Compliance Status	Evidence/Comments
Legal Compliance	Supplier must adhere to all applicable laws, including tax regulations, import/export laws, etc.	[ ] Compliant [ ] Non-compliant	[Insert evidence of compliance or reasons for non-compliance]
Contractual Compliance	Supplier must fulfill all contractual obligations as stated in the MOU or contract.	[ ] Compliant [ ] Non-compliant	[Insert comments or contractual clauses for verification]
Environmental Compliance	Supplier must meet environmental regulations and sustainability standards.	[ ] Compliant [ ] Non-compliant	[Insert certifications, audits, or reports]
Health and Safety Compliance	Supplier must adhere to all applicable health and safety standards for operations.	[ ] Compliant [ ] Non-compliant	[Insert certifications, audits, or reports]
Quality Standards	Goods delivered must comply with agreed quality standards (e.g., ISO certification, industry-specific standards).	[ ] Compliant [ ] Non-compliant	[Insert product test results, certifications, or quality audits]
Data Privacy Compliance	Supplier must protect sensitive data in accordance with relevant data privacy laws (e.g., GDPR).	[ ] Compliant [ ] Non-compliant	[Insert security certifications, audit results]
Financial Transparency	Supplier must maintain financial records and share necessary documentation.	[ ] Compliant [ ] Non-compliant	[Insert financial audit results, tax clearance]

---

🔄 Section 3: Risk Mitigation Summary

Risk Area	Mitigation Measures	Responsible Party	Due Date
Legal Compliance	[Insert mitigation steps to ensure full legal compliance]	[Responsible Party]	[Insert Date]
Financial Stability	[Insert steps to ensure the supplier is financially viable]	[Responsible Party]	[Insert Date]
Product Quality & Delivery	[Insert steps to ensure goods meet agreed standards]	[Responsible Party]	[Insert Date]
Supply Chain Risks	[Insert steps to diversify or mitigate disruptions]	[Responsible Party]	[Insert Date]

---

✅ Section 4: Final Assessment & Recommendations

• Risk Level:
  Based on the above risk assessment, the overall risk level is:
  [ ] High Risk [ ] Moderate Risk [ ] Low Risk
• Recommendations:
  [Insert summary of recommended actions to mitigate identified risks and ensure compliance.]
• Next Steps:
  [Insert any necessary follow-up actions, such as further evaluation, meetings, or updates to the agreement.]

---

📋 Approval and Signatures

Prepared By:
Name: _______________________
Title: _______________________
Signature: ____________________
Date: ________________________

Reviewed By:
Name: _______________________
Title: _______________________
Signature: ____________________
Date: ________________________

---

This Risk Assessment & Compliance Checklist provides a structured approach to identifying, evaluating, and mitigating risks related to goods procurement and partnerships. It also ensures that SayPro remains compliant with applicable laws, regulations, and internal policies.