Free Compliance Audit Checklist

Ensure all necessary business licenses are obtained and up-to-date.

Verify that licenses are specific to the industry and location.

Confirm renewal dates and compliance with regulatory changes.

Review zoning regulations specific to the business location.

Confirm the business activities align with zoning restrictions.

Identify any potential violations or variances needed.

Validate the accuracy and timeliness of tax filings.

Confirm compliance with federal, state, and local tax laws.

Check for any exemptions or credits applicable to the business.

Assess compliance with occupational health and safety standards.

Confirm the presence and adequacy of safety protocols.

Verify proper training and documentation of safety measures.

Evaluate adherence to environmental protection laws.

Review waste disposal procedures and pollution prevention measures.

Ensure compliance with regulations related to hazardous materials.

Verify compliance with consumer protection laws.

Confirm transparent business practices and accurate product labeling.

Assess procedures for handling customer complaints and disputes.

Review and update internal policies for relevance and legality.

Confirm communication and implementation of policies.

Assess employee awareness and understanding of internal procedures.

Ensure compliance with data protection laws.

Review data security measures and encryption protocols.

Confirm the implementation of privacy policies on customer data.

Verify the existence and accessibility of an updated employee handbook.

Assess compliance with labor laws and regulations.

Confirm acknowledgment of handbook receipt by employees.