Quarterly Compliance Review Checklist in The Guard

Compliance isn’t a “set it and forget it” effort — especially in a world where team members change, vendors come and go, and regulations evolve. That’s why every admin should build a habit of conducting quarterly reviews inside The Guard.

Use this checklist as your go-to for a quarterly “spring cleaning” — it helps ensure your data is accurate, your people are engaged, and your compliance posture is strong.

Quarterly Review Checklist

• Remove former employees or deactivated accounts

• Ensure each user’s role and permission level aligns with their current responsibilities

• Confirm new hires have been added and assigned relevant trainings

• Identify any unpublished, expired, or overdue policies

• Confirm that published policies reflect your current operations and regulations

• Check who has not acknowledged recent policy updates

Examine Training Progress

• Review overall training completion rates

• Follow up with users who are overdue or have failed recent trainings

• Schedule new trainings if requirements have changed or roles have shifted

Refresh Risk Assessments & Controls

• Confirm your last Risk Assessment is up to date

• Look for flagged controls or areas marked “Needs Attention”

• Review mitigation plans to ensure ownership and deadlines are still valid

Audit Vendor & Third-Party Listings

• Archive vendors no longer in use

• Update contact information and reassign owners as needed

• Ensure each vendor has appropriate documentation on file

Spot Engagement Gaps

• Check activity logs: who hasn’t logged in or interacted with content lately?

• Identify departments or locations with low usage

• Schedule touchpoints or walkthroughs with under-engaged teams

Prepare for Future Audits

• Export and store quarterly snapshots of key reports (training logs, policy acknowledgments, risk assessments)

• Document any significant changes to your compliance program

• Capture internal notes on what went well — and what needs improvement

Pro Tip: Set a Quarterly Reminder

Compliance shouldn’t be reactive. Schedule a 30-minute recurring calendar event each quarter to walk through this checklist. You’ll thank yourself later — and so will your auditor.