> Markdown copy of https://www.safarisop.com/resources/doc-compliance_checklist.html for AI agents.
> Index of every page on this site: https://www.safarisop.com/llms.txt

##### BEST PRACTICES

# Risk & Compliance Checklist

## Does your legal order processing meet compliance expectations?

Legal order processing may appear to be a routine back-office task, but when mishandled, it can pose serious compliance risks. This short challenge will help you assess whether you're meeting regulatory expectations or if critical gaps need attention.

1.  ### Do you have a centralized system of record (not just spreadsheets, emails, and documents stored separately) to track **all served legal documents** with a full audit history showing who did what, when, and why?

     YES

     NO

     NOT SURE

2.  ### Does your institution have “served document population control” to confirm that every served document (e.g. from branches or physical mail) is accounted for in the proper fulfillment system—with no gaps?

     YES

     NO

     NOT SURE