Q01
Checklist Readiness Score — vw_checklist_readiness_score
SRA §8.1 · ISO 9001 Cl.9.1
PENDING
SELECT "Checklist Coverage (25)", "No Blocking Items (25)", "AML Completion (25)", "Evidence Quality (25)", "Total Score (100)", "Regulatory Readiness" FROM vw_checklist_readiness_score;
Q02
Matter Compliance Status — cl_matter + matter_checklist
SRA §8.1 · ISO 9001 Cl.8.1
PENDING
SELECT matter_reference, client_name, matter_type, fee_earner, date_opened, days_open, opening_checklist_status, completion_pct, blocking_items, high_risk_aml, pep_client, sla_status, rag_status FROM cl_matter JOIN matter_checklist WHERE status NOT IN ('Closed','Archived');
Q03
Blocking Items Register — vw_blocking_items
SRA §6.1 · ISO 9001 Cl.8.1
PENDING
SELECT * FROM vw_blocking_items WHERE "Days Overdue" > 0 OR "Due Date" <= CURRENT_DATE + 1 ORDER BY "Days Overdue" DESC;
Q04
AML & CDD Compliance Tracker — vw_aml_compliance
MLR 2017 Reg.28 · POCA 2002
PENDING
SELECT * FROM vw_aml_compliance WHERE "Is Overdue" = true OR "Due Date" <= CURRENT_DATE + 2 ORDER BY "PEP" DESC;
Q05
SLA Breach Analysis — cl_matter + matter_checklist_item
ITIL 4 SLM · ISO 9001 Cl.9.1
PENDING
SELECT matter_reference, client_name, fee_earner, date_opened, days_open, sla_type, breach_description, severity FROM cl_matter WHERE (checklist_not_complete_in_3_days OR blocking_item_overdue_7_days OR no_supervision_90_days);
Q06
Compliance Gap Analysis — Outstanding Steps by Category
SRA §8.3 · ISO 9001 Cl.10.2
PENDING
SELECT compliance_category, item_title, severity, matters_affected, total_outstanding, earliest_due, already_overdue FROM matter_checklist_item WHERE status NOT IN ('Completed','Waived','Not Applicable') GROUP BY category, item_title;