Your January 2026 Compliance Audit Checklist: Start the Year Right

✓ Detailed Checklist:

• ☐ Pull all 2025 OSHA 300 Logs and verify every incident is documented
• ☐ Verify all Form 301 incident reports have complete narratives and signatures
• ☐ Calculate 2025 TCIR and DART rates (you'll need these for Form 300A)
• ☐ Archive all 2025 training records (certificates, sign-in sheets, materials used)
• ☐ Verify all 2025 inspection records are complete (dates, inspector names, findings, corrective actions)
• ☐ Archive all 2025 equipment calibration and maintenance records
• ☐ File all 2025 PPE issuance records and acknowledgments
• ☐ Archive drug and alcohol testing records (DOT: 5 years, OSHA: 1 year minimum)
• ☐ Save all 2025 permits and licenses (even if expired - keep for record)
• ☐ Back up digital records to offsite/cloud storage
• ☐ Create physical backup of critical records (fire/flood protection)

Standard Retention Requirements by Document Type:

OSHA Records:

• Form 300/300A/301: 5 years following the year they cover
• Exposure records (noise, chemicals, etc.): 30 years
• Medical surveillance records: Duration of employment + 30 years
• Training records: 3-5 years minimum (varies by standard)
• Equipment inspection records: Until equipment is retired + 3 years

DOT/FMCSA Records:

• Driver qualification files: 3 years after driver termination
• Drug/alcohol testing records: 5 years
• Hours of service logs: 6 months
• Vehicle maintenance records: 1 year + 6 months after vehicle disposal
• Accident registers: 3 years from accident date

Healthcare/HIPAA Records:

• Medical records: 6 years from creation or last use
• Credentialing files: 7 years after physician departure
• Infection control logs: 7 years
• HIPAA compliance documentation: 6 years

Employment/HR Records:

• Personnel files: 7 years after termination
• I-9 forms: 3 years after hire or 1 year after termination (whichever is longer)
• Payroll records: 3 years (7 years for tax-related)
• Benefits records: 6 years after plan termination

✓ Document Purging Checklist:

• ☐ Identify all records that exceeded retention requirements in 2025
• ☐ Get legal approval for destruction (especially for litigation-related records)
• ☐ Shred physical documents (don't just throw away)
• ☐ Permanently delete digital files (empty recycle bin, clear backups)
• ☐ Document what was destroyed, when, and by whom (destruction log)
• ☐ Update records index to reflect purged documents

✓ Certification Audit Process:

• ☐ Pull complete employee roster (include part-time, seasonal, leased workers)
• ☐ Generate expiration report for Q1 2026 (Jan-Mar)
• ☐ Generate expiration report for Q2 2026 (Apr-Jun) for early planning
• ☐ Verify you have physical or digital copies of all current certifications
• ☐ Cross-reference certification requirements with actual job duties
• ☐ Identify employees working outside their certification scope
• ☐ Schedule recertification training 60 days before expiration
• ☐ Send renewal reminders to employees (email + written notice)
• ☐ Create backup coverage plan for workers with expiring certifications
• ☐ Budget for renewal fees and training costs

• ☐ Medical licenses: State medical board, DEA registrations, NPI numbers
• ☐ Nursing licenses: RN, LPN, NP, APRN (verify multistate compact status)
• ☐ CPR/BLS/ACLS: American Heart Association or Red Cross (2-year renewal)
• ☐ Specialty certifications: Board certifications (varies by specialty)
• ☐ HIPAA training: Annual requirement for all staff with PHI access
• ☐ Infection control training: Annual requirement (Joint Commission)
• ☐ Credentialing documentation: Primary source verification, peer references
• ☐ Malpractice insurance: Verify coverage is current and adequate
• ☐ Clinical privileges: Annual reappointment documentation

• ☐ Commercial Driver's Licenses: Class A/B/C, state endorsements
• ☐ Medical Examiner Certificates: Required every 12-24 months (varies by driver)
• ☐ Hazmat endorsements: TSA background check renewal (every 5 years)
• ☐ TWIC cards: Transportation Worker ID (5-year expiration)
• ☐ Drug and alcohol clearance: Annual Clearinghouse query (due Jan 31)
• ☐ Hours of Service training: Annual requirement for all drivers
• ☐ Cargo securement training: Initial + refresher every 3 years
• ☐ Vehicle inspection training: Pre-trip and post-trip procedures
• ☐ Defensive driving certificates: Recommended every 3 years

• ☐ OSHA 10/30 hour cards: No official expiration, but refreshers recommended every 4-5 years
• ☐ Competent Person certifications: Scaffolding, excavation, fall protection (annual refreshers)
• ☐ Forklift/heavy equipment operators: 3-year certification, annual evaluation required
• ☐ Confined space entry: Annual training requirement
• ☐ Fall protection training: Annual requirement for elevated work
• ☐ Crane operator certifications: CCO, NCCCO (5-year recertification)
• ☐ First aid/CPR: 2-year certification
• ☐ Silica awareness training: Annual requirement (OSHA silica standard)
• ☐ Asbestos/lead awareness: Required for renovation/demolition work

✓ Certification Renewal Process:

• ☐ 60 days before expiration: Send first renewal reminder to employee
• ☐ 45 days before expiration: Supervisor follow-up meeting
• ☐ 30 days before expiration: Schedule training/testing appointment
• ☐ 15 days before expiration: Final warning + reassignment plan if not renewed
• ☐ On expiration date: Remove from certification-required duties until renewed
• ☐ Document everything: All reminders, employee responses, renewal confirmation

✓ Policy Review Checklist:

• ☐ Pull every compliance-related policy (safety, HR, operations, quality)
• ☐ Check "last updated" date on each policy (flag anything >2 years old)
• ☐ Review each policy against current federal and state regulations
• ☐ Verify policy matches actual operational practices (major audit red flag if mismatched)
• ☐ Update contact names, phone numbers, and reporting procedures
• ☐ Remove obsolete policies (don't just mark inactive - fully remove)
• ☐ Add version control to each policy (effective date, revision history)
• ☐ Have legal counsel review updated policies before distribution
• ☐ Translate policies for non-English speaking workforce

• ☐ Minimum wage updates: 23 states increased minimum wage January 1, 2026 (update pay scales, overtime calculations)
• ☐ Paid sick leave: Several states expanded requirements (CO, MA, NM, OR updates)
• ☐ Remote work policies: Update WFH eligibility, equipment provision, injury reporting
• ☐ Non-compete agreements: FTC rule changes (verify enforceability in your state)
• ☐ AI use in hiring: New discrimination concerns (EEOC guidance on automated screening)
• ☐ Salary transparency: Several states now require pay ranges in job postings
• ☐ Leave policies: Update for FMLA, state family leave, bereavement, jury duty

• ☐ Heat illness prevention: OSHA's new heat standard (proposed rule - check status)
• ☐ COVID-19 policies: Update to reflect current guidance (most ETS expired, but industry-specific rules remain)
• ☐ Silica exposure control: Verify written exposure control plan is current
• ☐ Fall protection systems: Update for new equipment and technology
• ☐ Lockout/tagout procedures: Verify machine-specific procedures exist for all equipment
• ☐ Emergency action plans: Update evacuation routes, emergency contacts, rally points
• ☐ Hazard communication: SDS library updated with all chemicals currently on site

• ☐ State privacy laws: 6 new state laws took effect January 2026 (DE, IA, NE, NH, NJ, TN)
• ☐ Data breach notification: Update contact procedures and timeline requirements
• ☐ Employee monitoring: Disclose surveillance, keystroke logging, email monitoring
• ☐ Third-party data sharing: Update vendor data processing agreements
• ☐ Data retention and deletion: Implement automated deletion for expired records
• ☐ AI and machine learning: Disclosure of AI use, data training opt-outs

✓ Handbook Update & Distribution Process:

• ☐ Create clean version showing all changes (highlight new/revised sections)
• ☐ Conduct staff meeting to review major changes (don't just email it)
• ☐ Provide both digital and physical copies
• ☐ Require signed acknowledgment from every employee (including "I received it" + "I read it")
• ☐ File signed acknowledgments in personnel files
• ☐ Post new policies in common areas (break rooms, time clocks)
• ☐ Update new hire orientation materials with revised handbook
• ☐ Archive old handbook version with implementation date

✓ Build Your 2026 Training Calendar:

• ☐ List every required training by regulation (OSHA, DOT, HIPAA, etc.)
• ☐ Identify frequency requirement (annual, biennial, upon hire, etc.)
• ☐ Assign month/quarter for each training (spread throughout year)
• ☐ Identify internal vs. external trainers needed
• ☐ Book external trainers NOW (popular trainers fill up)
• ☐ Reserve training space and equipment
• ☐ Budget training costs (trainers, materials, employee time)
• ☐ Create monthly training reminder emails
• ☐ Set up automated completion tracking
• ☐ Plan makeup sessions for employees who miss scheduled training

• ☐ HIPAA Privacy & Security: Annual (100% staff completion required)
• ☐ Infection Control: Annual (all clinical staff)
• ☐ Bloodborne Pathogens: Annual (staff with exposure risk)
• ☐ Fire Safety & Evacuation: Quarterly drills + annual training
• ☐ Emergency Codes: Quarterly drills (Code Blue, Code Red, etc.)
• ☐ Patient Rights: Annual (all patient-facing staff)
• ☐ Workplace Violence Prevention: Annual
• ☐ CPR/BLS: Every 2 years (maintain 90-day buffer before expiration)
• ☐ Equipment competency: Annual validation for high-risk equipment
• ☐ Medication administration: Annual competency assessment (nurses)

• ☐ Hours of Service Rules: Annual (all drivers)
• ☐ Drug & Alcohol Awareness: Annual (drivers + supervisors)
• ☐ Vehicle Inspection Procedures: Annual (pre-trip and post-trip)
• ☐ Cargo Securement: Initial + refresher every 3 years
• ☐ Hazmat Training: Every 3 years (if transporting hazmat)
• ☐ Winter Driving Safety: Annually before winter season
• ☐ Defensive Driving: Every 3 years recommended
• ☐ Accident Reporting Procedures: Annual
• ☐ DOT Recordkeeping Requirements: Annual (for staff maintaining DQFs)

• ☐ Fall Protection: Annual (anyone working at heights >6 feet)
• ☐ Scaffolding Safety: Annual (erectors + users)
• ☐ Confined Space Entry: Annual (authorized entrants, attendants, supervisors)
• ☐ Excavation & Trenching: Annual (competent person renewal)
• ☐ Powered Industrial Trucks: Annual evaluation (forklift operators)
• ☐ Lockout/Tagout: Annual (affected and authorized employees)
• ☐ Hazard Communication: Annual + when new chemicals introduced
• ☐ PPE: Annual (proper use, maintenance, limitations)
• ☐ Electrical Safety: Annual (qualified electrical workers)
• ☐ Silica Exposure Control: Annual
• ☐ Toolbox Talks: Weekly or monthly (document all topics covered)

• ☐ Sexual Harassment Prevention: Annual (some states mandate, best practice for all)
• ☐ Workplace Safety Orientation: Initial + annual refresher
• ☐ Anti-Discrimination: Annual (especially for supervisors)
• ☐ Data Security & Privacy: Annual (all staff with computer access)
• ☐ Emergency Evacuation Procedures: Annual + quarterly drills
• ☐ Active Shooter/Workplace Violence: Annual
• ☐ Cybersecurity Awareness: Annual (phishing, password security)

Every training record must include:

• ☐ Employee name: Full legal name (matches personnel file)
• ☐ Training topic: Specific subject covered (not just "safety training")
• ☐ Date of training: Exact date completed
• ☐ Duration: Hours completed (some regulations require minimum hours)
• ☐ Instructor name: Who conducted the training + credentials/qualifications
• ☐ Training method: In-person, online, hands-on demonstration
• ☐ Evaluation method: Written test, practical demonstration, observation
• ☐ Pass/fail criteria: What constitutes successful completion
• ☐ Actual score/result: Test score or demonstration evaluation
• ☐ Materials provided: Handouts, manuals, reference materials given
• ☐ Employee signature: Acknowledging attendance and comprehension
• ☐ Instructor signature: Certifying training was completed satisfactorily
• ☐ Next renewal date: When retraining is due

Templates You Need:

• ✓ Document Retention Schedule Template: Organize by document type with retention periods
• ✓ Certification Expiration Tracker: Employee name, cert type, issue date, expiration, renewal status
• ✓ Annual Training Calendar: Monthly grid with training topics, attendees, completion status
• ✓ Policy Review Log: Policy name, last review date, changes needed, approval status
• ✓ Audit Findings Tracker: Finding description, risk level, corrective action, completion date
• ✓ Employee Acknowledgment Forms: Handbook receipt, training completion, policy updates