Resources
Templates and checklists you can put to work this week.
Practical tools for owners and operators in regulated industries. Free to download, no sign-up, and built on the management methods described on this site.
Free downloads
Start with the tool for the problem in front of you.
Each file is a working template, not a brochure. Adapt it to your business, your locations, and the rules in your jurisdiction.
New here? Start with three
- Compliance Calendar Checklist: find the dates you are not tracking yet.
- Compliance Calendar Template: give each date a source, an owner, and a backup.
- Owner’s Monthly Dashboard: see every location on one page each month.
Cadences in these templates are suggestions, not requirements. Your license conditions and local rules set the minimum. Unfamiliar term? See the glossary.
Compliance and inspections
Dates, records, and follow-through that hold up on any given day.
PDF · 64 KB · Updated Sep 2026
Compliance Calendar Checklist
A one-page starting checklist of common licenses, permits, lease dates, and filings to confirm for your business.
Use it to find what is missing from your current list.
Download Compliance Calendar ChecklistRead the article: How to Build a Compliance Calendar for a Licensed Business
Excel · 28 KB · Updated Sep 2026
Compliance Calendar Template
A working calendar with sources, owners, backups, lead times, and workbook highlights when a start-by or due date passes.
Includes a review log for the regular whole-calendar check.
Download Compliance Calendar TemplateRead the article: How to Build a Compliance Calendar for a Licensed Business
PDF · 67 KB · Updated Sep 2026
Inspection Readiness Checklist
Records, premises, people, and follow-up: what to have in place before, during, and after a regulatory visit.
Suggested: walk each site with it once a quarter.
Download Inspection Readiness ChecklistRead the article: How to Prepare for a Surprise Regulatory Inspection
PDF · 67 KB · Updated Sep 2026
Monthly Site Walk-Through
A repeatable internal check of postings, records, premises, storage, and staff readiness, with a findings table to close out.
Suggested monthly. It supplements any daily or event checks your rules require.
Download Monthly Site Walk-ThroughRead the article: How to Set an Internal Compliance Review Schedule
Excel · 19 KB · Updated Sep 2026
Corrective Action Log
Every finding from an inspection, walk-through, or incident, with a root cause, a named owner, a due date, and a verified close.
Overdue items and unverified fixes highlight themselves.
Download Corrective Action LogRead the article: Regulated Retail Recordkeeping: Retention, Access, and Audit Evidence
Excel · 15 KB · Updated Sep 2026
Obligation and Source Register
Each requirement you have identified, with its source, effective date, where it applies, an accountable role, a named assignee and backup, and the evidence that it is met.
Recurring items go on your compliance calendar.
Download Obligation and Source RegisterRead the article: How to Build a Compliance Calendar for a Licensed Business
Excel · 13 KB · Updated Sep 2026
Records Retention and Access Schedule
Record categories with their source authority, retention trigger, storage location, access permissions, legal holds, and disposal approval.
No legal periods are filled in: confirm each one from its source.
Download Records Retention and Access ScheduleRead the article: Regulated Retail Recordkeeping: Retention, Access, and Audit Evidence
Excel · 15 KB · Updated Sep 2026
Regulatory Change Log
Each rule change from the day you notice it to a verified update of procedures and training, with the questions for counsel recorded.
Includes one completed, fictional example to follow.
Operations and people
Procedures, training, and vendors kept to one standard.
Word · 59 KB · Updated Sep 2026
Standard Operating Procedure Template
A plain-language SOP format with a named owner, numbered steps, the record each step leaves, and training sign-off.
Start with the procedures that carry regulatory weight.
Excel · 21 KB · Updated Sep 2026
Training Matrix and Sign-Off Log
Who has completed which training, when it expires, and a sign-off log, plus an onboarding checklist for seasonal hires.
Missing and expired training shows up by color.
PDF · 68 KB · Updated Sep 2026
Vendor and Supplier Vetting Checklist
What to verify before a vendor touches your product, premises, or records, and what should trigger a fresh review.
Pairs with the vendor file tracker.
Download Vendor and Supplier Vetting ChecklistRead the article: Vendor and Supplier Vetting for Regulated Industries
Excel · 15 KB · Updated Sep 2026
Vendor File Tracker
Licenses, insurance certificates, contract dates, and review dates for every vendor in one sheet.
Expiring documents are highlighted at 30 days and when lapsed.
Download Vendor File TrackerRead the article: Vendor and Supplier Vetting for Regulated Industries
Excel · 13 KB · Updated Sep 2026
Local SOP Variations Register
Where a local rule or license condition changes a core procedure, with the source, affected sites, approval, and training.
The core SOP stays the standard; each variation stays visible.
Download Local SOP Variations RegisterRead the article: One Playbook, Every Location: Standardizing Operations Across Multiple Sites
Excel · 15 KB · Updated Sep 2026
Incident Escalation Log
What happened, the control affected, immediate containment, who was told, the evidence kept, and follow-up through a verified close.
It does not decide reportability: check your license conditions and ask counsel.
Download Incident Escalation LogRead the article: How to Prepare for a Surprise Regulatory Inspection
Real estate and locations
Screening, leasing, and keeping the sites a license depends on.
PDF · 67 KB · Updated Sep 2026
Site Screening Worksheet
Zoning, nearby sensitive uses, local caps, licensing timing, and landlord willingness for one candidate address.
Not a zoning determination. Confirm every answer with the jurisdiction.
PDF · 68 KB · Updated Sep 2026
Lease Review Checklist for Regulated Tenants
The clauses and dates a licensed business should understand before signing or renewing, from permitted use to change of ownership.
Bring it to the conversation with your attorney. It is not legal advice.
Download Lease Review Checklist for Regulated TenantsRead the article: Choosing a Location for a Regulated Business: What the Lease Doesn’t Tell You
PDF · 66 KB · Updated Sep 2026
Landlord Due Diligence Checklist
Ownership, lender consent, property condition, and the landlord's willingness to support a license application.
Review the other side of the lease before you rely on it.
Download Landlord Due Diligence ChecklistRead the article: Due Diligence on a Landlord: Why the Other Side of the Lease Matters Too
Excel · 12 KB · Updated Sep 2026
Landlord and Tenant Obligation Tracker
Shared property obligations with their lease or rule source, the responsible party, due dates, evidence, and open questions for counsel.
A coordination aid, not a lease interpretation or a determination of liability.
Download Landlord and Tenant Obligation TrackerRead the article: Multi-Site Facilities Compliance: What Belongs in Each Site File
Leadership and growth
Visibility, continuity, and the conversations owners carry.
Excel · 12 KB · Updated Sep 2026
Owner's Monthly Dashboard
One page, every location, the same measures each month: open items, overdue dates, findings, training, and decisions needed.
Five locations are set up; add rows as you grow.
PDF · 66 KB · Updated Sep 2026
Bank and Lender Readiness Checklist
The documents and records to bring to a banking conversation, and how to present your compliance system as a strength.
Build the packet before you need the capital.
Download Bank and Lender Readiness ChecklistRead the article: How to Talk to Your Bank About a Regulated Business
Word · 60 KB · Updated Sep 2026
Key-Person Handover Plan
Duties, owned dates, contacts, systems, and decision rights for one key person, written so someone else could cover them.
Never write passwords in it; point to your password manager instead.
Download Key-Person Handover PlanRead the article: Succession Planning for Owner-Operators in Regulated Industries
PDF · 67 KB · Updated Sep 2026
Change of Ownership Checklist
License, lease, permit, vendor, and bank steps to plan before a sale, merger, or ownership change affecting licensed locations.
Involve your attorney early. This is not legal advice.
Excel · 17 KB · Updated Sep 2026
Licensing Project Plan
Milestones, dependencies, client approvals, and document requests for a licensing project, with who submits and who decides shown separately.
Map it before you commit capital to a site.
General information only. Requirements vary by jurisdiction and change often; confirm current rules with your regulator or a qualified professional. SPL Management is not a law firm, and these templates are not legal advice.
Go further
Not sure where to start?
Self-assessment
Compliance Readiness Assessment
Twelve questions across licenses, records, procedures, and leases. About five minutes, scored in your browser.
Take the assessment
Sample work
What ongoing management produces
The calendar, monthly report, and procedures clients receive, shown with a fictional business.
See the samples
Insights
Practical articles
Plain-language notes on compliance, operations, real estate, and leadership.
Read the latest
Would you rather have these run for you?
SPL Management maintains the calendar, the procedures, and the monthly report as an ongoing responsibility. A consultation is the simplest way to see whether that fits your business.