Process Compliance Checklist


A process compliance checklist guarantees that employees follow a specific process. While creating a responsibility for employees to follow a process in a specific manner, such comprehensive lists also allow you to investigate systemic failures. You can determine when a problem arose and if personnel followed the proper process before the failure. Additionally, process compliance checklists serve as reminders for experienced employees and training tools for newer employees.

Sequence of Events

  • The sequence of events, or the order in which activities should happen, is critical for process compliance checklists. For example, if your process compliance checklist is reviewing your interview process, then you must include questions about your introduction to the candidate before questions about your discussion regarding an available job, because the introduction occurs first. This allows you to review your checklist quickly during the process, without searching for appropriate questions or omitting input on areas due to confusion over your checklist order.

Question Groups

  • Your checklist must group all pertinent questions together with the area of the process in which they relate. If your compliance checklist is reviewing the cleaning procedure for a piece of equipment, then all questions regarding the gathering of necessary cleaning equipment must be grouped together and separate from questions regarding the actual cleaning process. This ensures that your checklist will fulfill its primary responsibility, which is to guarantee that individuals who use the list will not overlook necessary steps.


  • Use boldface and underlining to direct attention to specific words or sentences that are crucial. If your compliance checklist is reviewing the process of submitting a completed electronic project, then you must underline or bold the specific folder name under which the project must be saved or the individual who must receive the finished project. This kind of formatting helps to reduce confusion.

Signature and Date

  • A signature and date section on your process compliance checklist assists in your ability to file your checklists. But probably more important is that such a section that employees would sign off on would show that they had followed a process, from beginning to end, and given their word that it was done correctly. Inform your employees about the importance of their signature on your checklists. If a problem arises from the mishandling of a particular process, then you can reference the compliance checklist and find out which employee is responsible for the process failure.

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