Professional Services

Professional Services Compliance & Renewal Checklist

For accounting, architecture, engineering, insurance, IT services & staffing firms. CPAs, architects, engineers, insurance agencies, IT and staffing firms — keep professional licenses, E&O coverage, and client attestations from ever slipping.

Download PDF checklist12 categories · 68 documents

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What to track

Documents that expire — and need an owner.

Core Business & Entity Documents

General business license (city / county / state)
Certificate of good standing
DBA / fictitious name registration
Articles of incorporation / organization
Operating or partnership agreement
Annual state reports
Foreign state registrations (if applicable)

Professional & Occupational Licenses

CPA / Accounting firm license
Architect license
Professional engineer license
Surveyor license
Insurance agency producer license
Individual professional licenses
Notary commission
Continuing education (CE) certificates

Industry-Specific Firm Registrations

Professional firm registration (state)
Insurance DOI registrations
Staffing / employment agency license
IT services reseller authorizations
Government contractor registrations

Insurance Policies & Proof

General liability insurance
Professional liability / E&O insurance
Cyber liability insurance
Workers’ compensation insurance
Employment practices liability (EPLI)
Certificates of insurance (COIs)
Additional insured endorsements
Waivers of subrogation

Client & Contract Requirements

Master service agreements (MSAs)
Client compliance attestations
Third-party risk questionnaires
NDAs / confidentiality agreements
Client-mandated renewal proofs
Background check confirmations

Regulatory, Privacy & Security Compliance

Privacy policy attestations
Data protection addenda
SOC reports (if applicable)
ISO / security certifications
Cybersecurity awareness training
Access review attestations

Financial, Tax & Payroll Filings

IRS EIN confirmation
Sales tax registrations
Payroll tax registrations
Unemployment insurance registration
Franchise / gross receipts tax filings

Facilities & Office Compliance

Certificate of occupancy
Use & zoning permits
Fire inspection certificates
Signage permits
Lease compliance documents

Technology, Software & Digital Assets

Domain registrations
SSL certificates
Software & SaaS licenses
Cloud service agreements
IT acceptable-use policies

Staffing & Workforce Compliance

Employee credential validations
Contractor agreements
Temporary worker licenses
Labor law notices
Training completion records

Certifications & Accreditations

Industry association memberships
Minority / woman / veteran-owned certifications
Small business certifications
Quality management certifications

One-Off & High-Risk Expiring Items

Provisional licenses
Conditional approvals
Temporary authorizations
Waivers with expiration dates

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