Quarterly compliance audit a Compliance Officer runs on every store visit.
A compliance team visit audit template is the checklist a Compliance Officer uses on a quarterly visit to confirm that a store meets its licence, pricing, fire safety, data protection and labour requirements. It checks licences and registrations against the actual address and trade, Legal Metrology labels and GST invoices, the fire NOC, exits and alarms, the DPDP recording notice and handling of customer data, POSH and labour records, and whether earlier findings were closed. The Compliance Officer fills it on a phone with live photos, and the Regional Head reviews the score out of 100. Five items are fatal. A fatal fail caps the audit at zero and raises a ticket with an owner and a deadline.
Free. No form. The workbook has the same columns as the table below, with the score formula and a fatal-item check in place.
Score = weight of items answered Yes ÷ weight of items not marked N/A, out of 100. Pass mark 85. A failed fatal item caps the score at zero and raises a ticket to the regional head.
| # | Item | Audit question | Answer | Photo | Weight | What good looks like |
|---|---|---|---|---|---|---|
| 1 | Shops and Establishments validityFatal | Is the Shops and Establishments certificate valid, displayed and issued for this exact address and trade name? | Yes / No / N/A | Required | 5 | Certificate valid, address and trade name match the lease and GST records. |
| 2 | GST registration check | Does the GST registration show this store as a place of business, with the certificate displayed? | Yes / No / N/A | Required | 4 | Store listed as a place of business, certificate displayed and current. |
| 3 | Trade licence check | Is the municipal trade licence valid for the current year and the trade actually carried on? | Yes / No / N/A | Optional | 3 | Licence current and covers the goods sold or services offered. |
| 4 | FSSAI licence checkFatal | For outlets selling food, is the FSSAI licence valid, of the right category and displayed? | Yes / No / N/A | Required | 5 | Licence valid, category matches turnover and activity, or N/A for non-food stores. |
| 5 | Signage and advertisement permission | Is the external signage covered by a current permission or fee receipt? | Yes / No / N/A | No | 2 | Permission or fee receipt for the current period on file. |
| 6 | Renewal tracker accuracy | Does the store's renewal tracker match the actual expiry dates on every licence? | Yes / No / N/A | No | 3 | Every date in the tracker matches the document, owners named. |
| # | Item | Audit question | Answer | Photo | Weight | What good looks like |
|---|---|---|---|---|---|---|
| 7 | MRP label sample | In a sample of 20 displayed products, does every one carry a complete Legal Metrology label? | Yes / No / N/A | Optional | 4 | All 20 show MRP, net quantity, maker details, month of manufacture and care contact. |
| 8 | Weighing scale verification | Where scales are used, are they stamped and verified within the validity period? | Yes / No / N/A | Required | 3 | Verification stamp current, or N/A where no scale is used. |
| 9 | GST invoice sample | In a sample of five invoices, are GSTIN, HSN, tax split and numbering correct? | Yes / No / N/A | No | 3 | All five invoices complete, numbering continuous with no gaps. |
| 10 | Sale and offer displays | Do EOSS, festive and other offer displays state the terms clearly and match billing? | Yes / No / N/A | Required | 3 | Offer terms visible, discounts on the bill match the displayed offer. |
| 11 | Price parity with billing | Do displayed prices match the billing system for a sample of ten products? | Yes / No / N/A | No | 3 | All ten products bill at the displayed price. |
| # | Item | Audit question | Answer | Photo | Weight | What good looks like |
|---|---|---|---|---|---|---|
| 12 | Fire NOC checkFatal | Is the fire NOC valid for the premises and covering the current layout and occupancy? | Yes / No / N/A | No | 5 | NOC valid, layout unchanged since issue or a fresh NOC obtained. |
| 13 | Extinguisher inspection | Are all extinguishers of the right type, mounted, charged and serviced within the year? | Yes / No / N/A | Required | 4 | Correct type near each risk, gauges in green, service tags current. |
| 14 | Emergency exits checkFatal | Are all emergency exits unlocked from inside, unobstructed and marked with lit signs? | Yes / No / N/A | Required | 5 | Every exit opens freely, route clear to the outside, signs lit. |
| 15 | Fire alarm and detectors | Is the fire alarm system working, with detectors unobstructed and a test recorded this quarter? | Yes / No / N/A | Optional | 3 | Panel normal, detectors clear of stock and fixtures, test logged. |
| 16 | Evacuation drill record | Was an evacuation drill held in the last six months with the attendance and time recorded? | Yes / No / N/A | No | 3 | Drill record shows date, attendance and time to evacuate. |
| 17 | Electrical safety certificate | Is a current electrical safety inspection report on file for the premises? | Yes / No / N/A | No | 3 | Report dated within the interval the brand sets, faults closed. |
| # | Item | Audit question | Answer | Photo | Weight | What good looks like |
|---|---|---|---|---|---|---|
| 18 | DPDP notice check | Is the DPDP recording notice displayed at the entrance and wherever conversations are recorded? | Yes / No / N/A | Required | 4 | Notice at the entrance and at every recorded counter, wording current. |
| 19 | Consent at billing | Is customer consent recorded before phone numbers are used for messages or offers? | Yes / No / N/A | No | 3 | Consent field used in billing, staff can explain how they ask. |
| 20 | Customer data storageFatal | Is customer data kept only in approved systems, with no paper registers or personal phone copies? | Yes / No / N/A | No | 5 | No paper registers of customers, no customer lists on personal phones. |
| 21 | CCTV footage access | Is every access to or copy of CCTV footage logged with a reason and approver? | Yes / No / N/A | No | 3 | Footage log complete, copies made only with approval. |
| 22 | Data requests handled | Were customer requests to see or delete their data this quarter answered on time? | Yes / No / N/A | No | 2 | Each request logged with date received, action and date closed. |
| # | Item | Audit question | Answer | Photo | Weight | What good looks like |
|---|---|---|---|---|---|---|
| 23 | POSH Internal Committee | Is the Internal Committee constituted and its notice with contacts displayed for staff? | Yes / No / N/A | Required | 4 | Committee members named with contacts, notice in the staff area. |
| 24 | Holiday list and weekly offs | Is the holiday list displayed and did every staff member get weekly offs this quarter? | Yes / No / N/A | Optional | 3 | Holiday list current, attendance shows weekly offs every week. |
| 25 | Working hours and overtime check | Are working hours within limits, with overtime recorded and paid? | Yes / No / N/A | No | 3 | Hours register and payroll show overtime recorded and paid. |
| 26 | Wage and leave registers | Are the attendance, wage and leave registers complete for the quarter? | Yes / No / N/A | No | 3 | All three registers complete and signed up to the current date. |
| 27 | Appointment letters | Does every staff member have an appointment letter and ID card on file? | Yes / No / N/A | No | 2 | Letter and ID card on file for every name on the roster. |
| 28 | Statutory notices display | Is the statutory notices board in the staff area complete and current? | Yes / No / N/A | Optional | 2 | Required abstracts, timings and contacts displayed, none of them outdated. |
| # | Item | Audit question | Answer | Photo | Weight | What good looks like |
|---|---|---|---|---|---|---|
| 29 | Self compliance checklists | Were all monthly self compliance checklists this quarter completed by the store? | Yes / No / N/A | No | 3 | Three monthly self checks submitted on time this quarter. |
| 30 | Open tickets closed | Are all compliance tickets from the last quarter closed with proof? | Yes / No / N/A | No | 3 | Every ticket closed with a document or after photo. |
| 31 | Authority notices answered | Were any notices received from authorities answered within the stated time? | Yes / No / N/A | No | 4 | Each notice logged with reply date and outcome, none overdue. |
| 32 | Inspection visit book | Is every visit by an inspector recorded with the department and outcome? | Yes / No / N/A | No | 2 | Visit record complete with date, department and outcome. |
Loaded into BorentisOps, each required photo is live, GPS and time-stamped, so a photo from yesterday or another store does not pass. Where the brand has a docket or display standard, Drishti scores the photo against it and marks the misses. Every fail raises a ticket with an owner and a deadline, and the regional head sees the store on a heat map before the next visit.
The checklist runs offline and syncs when signal returns, in Hindi, English and Hinglish, and the operations score sits next to the store's selling score from Borentis Floor on one store card. Pricing is per store, so every compliance officer and staff member in the store is on the app.
This template is built for a quarterly visit by a Compliance Officer to each store, with an extra visit where the monthly self compliance checklist shows repeat failures. A full visit takes about 100 minutes, mostly on documents, registers and the fire safety walk. Scheduling it just before festive season or a lease renewal catches the most expensive problems early.
The store self compliance checklist is the Store Manager's monthly check. This visit audit is the independent quarterly review, and it goes deeper, checking that licences cover the right address and activity, sampling 20 MRP labels, reviewing data requests and footage access, and testing whether the monthly self checks were done. Its follow-up section closes the loop on tickets from both.
Five items are fatal: the Shops and Establishments certificate, the FSSAI licence for food outlets, the fire NOC, emergency exits and customer data storage. Each one exposes the brand to closure, penalty or harm to people. When any fatal item fails, BorentisOps caps the audit at zero and raises a ticket with an owner and a deadline, reviewed by the Regional Head.
Yes. The Excel download keeps the same columns as this page and imports into BorentisOps as a checklist with weights, photo rules and fatal flags. A Borentis onboarding person maps the Compliance Officer and Regional Head roles and schedules the visit quarterly. Certificate photos carry GPS and a time stamp, which gives the compliance team a dated record for every store.