Free Checklist Templates for Compliance

Compliance

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Shopify
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Soc2
Soc 2
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Software Asset Management
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Spec Cards
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Staff Development
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Statutory Accounting
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Store Operations
Strategic Planning
Strategy
Subcontractor Management
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Succession Planning
Supplier Evaluation
Supplier Quality
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Sysadmin
System Integration
Systems Administration
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Tapa
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Tax Compliance
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Team Building
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Toast
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Training And Development
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Transaction Coordination
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Usability
Uspto
Utilities
Utilization
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Video
Video Production
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Vulnerability Management
Wage And Hour
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Warehouse Operations
Warehouse Safety
Watersense
Wcag
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Weekly Reporting
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Wholesale
Wire Fraud
Wisp
Workforce
Workforce Management
Workplace Safety
Year End
Year End Close

OR

System Backup Checklist

Backup Scope and Preparation

Inventory NPI and PHI systems in scope

Confirm whether HIPAA Security Rule applies

Document PHI-specific backup controls

Confirm retention windows by line of business

Patch the backup software and agents

Backup Execution

Verify offsite or cross-region replication health

Run the weekly full backup of policy admin

Run nightly incrementals on AMS and claims data

Encrypt backup volumes with AES-256

Capture the run logs and exception report

Restoration Testing

Restore a sample policy record from this week's backup

Restore a claim file with attachments

Compare restore time against the RTO target

Confirm the restore succeeded

Open a P1 ticket and notify the CISO

Documentation and Audit Sign-Off

Update the WISP backup runbook

Verify the backup vendor's SOC 2 Type II is current

Reconcile backup activity against the CISO log

Sign the weekly backup attestation

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Training Evaluation Checklist

Learning Objectives Review

Map objectives to producer or adjuster competencies

Identify the CE credit type and hours

Confirm objectives are measurable

Communicate objectives to learners pre-session

Content and Materials Review

Verify accuracy of cited regulations and forms

Check inclusion of line-specific case studies

Confirm WCAG accessibility for the LMS module

Attach the final content package

Trainer and Delivery Assessment

Verify trainer credentials and active licensing

Observe a live or recorded session

Score the trainer against the rubric

Participant Engagement Review

Capture attendance and seat-time per learner

Review knowledge-check quiz pass rates

Distribute the post-session learner survey

Summarize survey themes and free-text comments

Outcomes and Follow-Up

Measure on-the-job application at 30 days

Compare KPIs to pre-training baseline

Schedule remediation for underperforming learners

File CE attendance with state DOI via Sircon

Sign off on the training evaluation record

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Training Materials Checklist

Audience and Curriculum Scoping

Identify target roles and their job tasks

Confirm CE credit applicability for the audience

Define measurable learning objectives

Draft the curriculum outline and module sequence

Assign SMEs and reviewers by line of business

Compliance and Regulatory Review

Map content to state DOI CE filing requirements

Cross-check against NAIC models and NYDFS Part 500

Add required disclaimers and producer E&O language

Route through compliance and legal review

Revise content and resubmit for compliance review

Schedule the annual regulatory refresh review

Instructional Design

Apply the ADDIE model to module structure

Build scenarios from real ACORD forms and claim files

Design knowledge checks tied to each objective

Create job aids for forms and rating workflows

Build the final assessment with pass threshold

Delivery Platform and Technology

Configure the LMS course shell and SCORM package

Test browser, mobile, and screen-reader compatibility

Configure CE credit reporting to NIPR

Stage delivery to a pilot cohort

Monitor LMS analytics and completion telemetry

Pilot, Evaluation, and Release

Run the pilot cohort and capture feedback

Collect Kirkpatrick Level 1 and 2 data

Revise content based on pilot gaps

Release to the full audience after final sign-off

Schedule the annual content refresh

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Training Needs Assessment Checklist

Strategic and Regulatory Drivers

Confirm carrier appointments and lines of business

Map state CE requirements by producer

Identify mandatory compliance training for the cycle

Determine if NYDFS Part 500 training applies

Review prior cycle training outcomes

Role and Competency Assessment

Survey CSRs and account managers on skill gaps

Interview underwriting and claims leads

Audit a sample of recent submissions and FNOLs

Score performance reviews against role competencies

Identify internal subject-matter experts

Training Plan Design

Prioritize topics by risk and exposure

Choose delivery method per topic

Set measurable objectives per program

Draft the cycle training calendar

Budget and Approval

Estimate per-program and per-seat costs

Present the plan for executive sign-off

Revise and resubmit the plan

Block participant time on the calendar

Plan post-training reinforcement

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User Access Review Checklist

Review Scoping and Data Pull

Confirm in-scope systems and frameworks

Export the active user roster from HRIS

Pull entitlement reports from each system

Reconcile system accounts against HRIS

Account Verification

Disable accounts for terminated employees

Inventory all service and shared accounts

Flag dormant accounts over 90 days

Confirm MFA enrollment for every active user

Entitlement and Role Review

Distribute manager attestation packets

Review privileged group membership

Check segregation of duties conflicts

Capture manager attestation results

Revoke flagged entitlements in source systems

Approval Process Audit

Sample new-access tickets from the cycle

Verify each ticket has documented approval

Document the bypass remediation plan

Reporting and Sign-Off

Generate the audit evidence package

Schedule the next quarterly review window

Obtain CISO and control owner sign-off

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Vendor Contract Review Checklist

Contract Intake and Classification

Identify the counterparty and contract type

Pull counterparty documentation

Classify the contract risk tier

Legal and Regulatory Review

Verify regulatory fit for the contract type

Audit influencer FTC disclosure language

Confirm the DPA covers CCPA and GDPR obligations

Check restricted-product and labeling clauses

Validate sales-tax responsibility allocation

Financial and Payment Terms

Review pricing tiers and volume breaks

Confirm payment terms and accepted methods

Check late-payment penalties and chargeback handling

SLAs and Performance Standards

Confirm fulfillment SLAs and ship cutoffs

Review uptime and incident-response commitments

Define penalty credits for SLA misses

IP, Data, and Confidentiality

Confirm UGC and content ownership terms

Verify NDA scope and survival period

Review subprocessor list and breach notification

Termination, Renewal, and Sign-Off

Check auto-renewal and notice periods

Document exit and data-return obligations

Confirm governing law and venue

Route to outside counsel for high-risk review

Execute the contract sign-off

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