Steps for document compliance review
- 01
Open the document compliance list.
- 02
Narrow it by status, franchise, document or due date.
- 03
Open the document on the franchise and review its current version.
- 04
Approve, deny or upload the document and confirm the requirement is covered.
What the finished work leaves you with
A prioritized list of document requirements with status, due date, current version, owner, and next step for each exception.
What to do when the review finds a problem
A document is missing, expired, or blocking sales reporting
Put it first and assign an owner.
The item already has an upload or a review in progress
Open that franchise’s requirement and check the current version before asking for a new upload.
A current document is waiting for approval
Send it to a reviewer.
The upload or review is done
Close the exception only when the requirement shows as covered.
A common mistake to avoid
Marking a requirement complete because a matching document exists somewhere in the franchise record.
Franchise document compliance review checklist
Use this checklist to work through document requirements from the compliance queue down to each franchise. It puts missing and expired documents first, checks the current version and review status, and leaves an owner and a dated next step on everything still open.
Before you start
- Open the compliance queue with filters for status, franchise, requirement, and due date.
- Decide which missing, expired, or report-blocking documents need an owner today.
- Have each franchise’s documents page ready to check versions and coverage dates.
When a document compliance item stays unresolved
A file being there does not make a document requirement complete. Check its status, current version, due or expiry date, review result, and whether it blocks reporting, so you know whether to request, review, replace, or note an exception.
The list says a document is missing, but a file is visible.
Check first
- Compare the file with the exact requirement name, franchise, and period.
- Check whether the file is a draft, an older version, or still waiting for review.
- Confirm whether the requirement’s status changed after the file was added.
Next action
Open the requirement, review the current file, and approve or deny it as its instructions say. Do not close the item from a file list that hides the requirement status.
Confirm the result
The requirement shows the current file, review result, due date, and status for the right franchise.
An expired document still seems to satisfy the requirement.
Check first
- Compare the expiry date with the requirement’s renewal rule and today’s date.
- Check whether a newer version was uploaded under another file name or requirement.
- Confirm the list is not showing an old status or a different franchise.
Next action
Mark the old file expired or request a renewal as the requirement says. Keep the old file in history, but do not count it as current.
Confirm the result
The list shows the document as expired or shows the approved replacement, with its dates visible.
A reviewer checked the file, but it is still in review.
Check first
- Confirm whether the reviewer recorded an approval, a denial, or a correction request.
- Check for a missing required field or date, or a second reviewer still assigned.
- Compare the status with the file version that was actually reviewed.
Next action
Record the missing decision or send the exact correction to the franchise. Do not upload another version until the review shows what is still needed.
Confirm the result
The requirement has a review decision tied to the reviewed file, and the list no longer shows it as unexplained.
Reporting is still blocked after the document looks current.
Check first
- Check that the report and the document requirement are for the same franchise.
- Confirm the document is approved, not just uploaded or waiting for review.
- Look for a second missing or expired document that could also block the report.
Next action
Resolve the requirement that is blocking, or tell whoever owns the reporting check that the link is out of date. Keep the report blocked until the requirement is actually met.
Confirm the result
The report and the compliance list agree on the document’s status, and the block is cleared for the same franchise and period.
When you need to hand it on
- Include the requirement, franchise, current file, due or expiry date, review status, and whether it blocks reporting.
- Do not request a new upload until you understand how the existing file relates to the requirement.
- Ask the requirement owner whether the requirement itself or a single document is causing the problem.
Link to the record instead of copying passwords or unrelated personal details into your note.
A situation to work through
A franchise’s insurance certificate is due soon, and a new file is already waiting for review. The reviewer opens that requirement and checks the current version before asking for another upload.
Use the requirement status, due date, current version, and review result to decide whether an upload, a review, or a follow-up is still needed.
This is a planning example, not a customer result.
How do teams resolve missing or expired franchise documents?
Filter the document compliance list by status, franchise, document or due date, then open the document on the franchise. Review or upload the current version and confirm the requirement is covered before report uploads resume.
Put the workflow into practice
In Granite, one compliance list shows every missing, expired, due-soon and needs-review document across your franchises.
Set it up in Granite with your own franchises, reporting periods and billing rules.