Skip to content
Best Practices Compliance Software Employee Conflicts of Interest

Are You Ready for Your Annual Certification Process?

No one in compliance looks forward to this annual task, but a comprehensive checklist could make the procedure a lot less stressful. StarCompliance has made a checklist to help you prepare.

Organizing your certification process each year can be tedious and if there is a way for the process to be simplified, it is always warmly received. Any delay in responding to the certification process could prolong it and cause some bumps along the way. With certifications right around the corner, now is the time to take on a fresh resolution for the new year and make sure you’re optimizing your certification process.  

To help start the year on the right foot, StarCompliance has compiled a 2023 Certification Process Checklist to help you streamline the certification process and get organized for the year ahead.  


Certifications are an important part of compliance, and it can take focused effort for a company to demonstrate a continuous commitment to maintaining them. Going through the certification process is a way for employees to recommit to the company’s compliance procedures and hopefully carry that commitment through the year.

During the assessments, a company can verify employees’ information which is then monitored by the compliance team throughout the year. Running after employees to receive this information can become a tedious and drawn-out process, which is why it’s so important to get on top of the process before you get behind. Getting this information back in a timely manner reduces a lot of the risk a company can face if they don’t meet their deadlines. 

So, how can you ensure your firm is ready for the 2023 certification process?


The certification process can be taxing, but a comprehensive checklist can simplify it by breaking it down into manageable steps. Follow Star’s 5-step checklist to streamline your certification process:

1. Prepare

The first step is to prepare so the work that follows is organized and there is a clear direction of what needs to be done. In the prep stage, there must be an evaluation of what worked well during the previous certification process, what needs improvement in the coming year, and a general plan of action. Analyzing policy changes, updating systems, and verifying recipients might seem simple but can reduce any oversights in the following steps.

2. Test

The second step is to test the certification sequence so a variety of eyes can view it and provide feedback.

3. Timing

The third step is for the company to issue the certifications at the appropriate time. Step two and step three go hand in hand. Ensure that the timing and nature of the release are optimal for all parties involved, producing more responses and participation among employees.

4. Follow Up

Step four focuses on following up with all employees involved in the process. Think about when follow-up should take place and how. What creative ideas could be implemented to encourage more responses?

5. Review the Process

The final step is to review the process by double-checking every previous step and action taken. This is a good time to take notes on what went well and what could have been improved on in this year’s certification process. These notes will be useful to reflect upon during next year’s process. While it may seem premature, it will save you time and effort next time.

Our Certification Checklist can assist your company in the upcoming year and make the difference between a stressful annual process, and an efficient and effective one. Contact us today so you can head into 2023 with the confidence of a productive certification experience and check out more on StarCompliance’s Certification Checklist here.