Corporate Records Management Compliance Checklist [FREE PDF]
This corporate records management compliance checklist ensures compliance with ARMA International GARP Principles requirements. Records Manager / Legal Compliances use this checklist to maintain standards, document compliance, and protect the organization from regulatory and operational risk.
- Industry: Corporate
- Frequency: Annually
- Estimated Time: 2-3 hours
- Role: Records Manager / Legal Compliance
- Total Items: 20
- Compliance: ARMA International GARP Principles, SOX Section 802 Document Retention, SEC 17a-4 Records Retention, ISO 15489 Records Management Standard
Pre-Inspection and Documentation Review
Review records, prior findings, and regulatory requirements before beginning.
- Required documentation and permits available for review?
- Prior inspection findings and corrective actions verified?
- Qualified personnel assigned for this inspection?
- Required pre-inspection notifications made?
Primary Compliance Checks
Core inspection items for this category.
- Compliance with primary regulatory requirements verified?
- Operational procedures documented and being followed?
- All staff currently trained and certified as required?
- Equipment, systems, and facilities in compliant condition?
- No active complaints, violations, or outstanding corrective actions?
Secondary and Supporting Requirements
Additional compliance verification items.
- Records, logs, and reports current and complete?
- Emergency procedures current and staff trained?
- Preventive maintenance schedule current for all equipment?
- Third-party certifications, audits, or inspections current?
Findings and Corrective Actions
Document findings and establish corrective action plans.
- Any deficiencies, non-conformances, or violations found?
- Corrective actions assigned with due dates and owners?
- Photo documentation captured?
- Inspection summary and recommendations
Inspection Closeout
Complete inspection record and schedule follow-up.
- All checklist items completed?
- Supervisor review and sign-off obtained?
- Next inspection date confirmed?
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Why Use This Corporate Records Management Compliance Checklist [FREE PDF]?
This corporate records management compliance checklist [free pdf] helps corporate teams maintain compliance and operational excellence. Designed for records manager / legal compliance professionals, this checklist covers 20 critical inspection points across 5 sections. Recommended frequency: annually.
Ensures compliance with ARMA International GARP Principles, SOX Section 802 Document Retention, SEC 17a-4 Records Retention, ISO 15489 Records Management Standard. Regulatory-aligned for audit readiness and inspection documentation.
Frequently Asked Questions
What does the Corporate Records Management Compliance Checklist [FREE PDF] cover?
This checklist covers 20 inspection items across 5 sections: Pre-Inspection and Documentation Review, Primary Compliance Checks, Secondary and Supporting Requirements, Findings and Corrective Actions, Inspection Closeout. It is designed for corporate operations and compliance.
How often should this checklist be completed?
This checklist should be completed annually. Each completion takes approximately 2-3 hours.
Who should use this Corporate Records Management Compliance Checklist [FREE PDF]?
This checklist is designed for Records Manager / Legal Compliance professionals in the corporate industry. It can be used for self-assessments, team audits, and regulatory compliance documentation.
Can I download this checklist as a PDF?
Yes, this checklist is available as a free PDF download. You can also use it digitally in the POPProbe mobile app for real-time data capture, photo documentation, and automatic reporting.