Annual compliance review checklist
Checklist template
Check this template against your local regulations and your own policies before you use it.
- Business
- Location
- Date
Annual compliance review
Once a year, at the same time each year
| Done | Task | Notes | Initials |
|---|---|---|---|
| Obligations | |||
| Check for new or changed laws, license conditions, contracts and standards since last year | |||
| Update the obligations register, and give each new obligation an owner and what you do about it | |||
| Mark obligations that no longer apply, such as for a service you've stopped | |||
| Policies and procedures | |||
| List every policy and procedure past its review date, and book each review | |||
| Check each obligation has the policy or procedure that meets it | |||
| Licenses and insurance | |||
| Check business licenses, registrations and permits are current | |||
| Check insurance covers what the business does now, and renewal dates are in the calendar | |||
| People | |||
| Check the training matrix for missing and expired training, and book it | |||
| Check staff and contractor licenses and checks, such as police checks, are current | |||
| Remind everyone how to raise a concern under the speak-up procedure | |||
| Registers and records | |||
| Review the risk register, and update ratings and controls | |||
| Review the year's incidents, complaints and data breaches for repeat causes | |||
| Destroy records past their retention period, unless they're on hold, and log it | |||
| Audits and actions | |||
| Check every audit in this year's plan was done | |||
| Close or chase corrective actions that are open or overdue | |||
| Plan next year's internal audits, starting with the highest risks and this year's findings | |||
| Report | |||
| Write a one-page summary of what was found, what's changed and the main risks | |||
| Agree the summary and next year's plan with the owner or board, and record their sign-off | |||
- Completed by
- Checked by (manager)
- Date
- Notes
