One of the easiest ways to reduce wrong uploads and incomplete submissions is to be explicit about exactly what you need. When clients or vendors receive a vague request — "please send your compliance documents" — they send whatever they think that means. When they receive a specific checklist, they know exactly what to submit.
This post covers the most common document checklists across professional and business contexts, along with guidance on how to structure them so submitters actually follow them.
Why checklists reduce back-and-forth
Most incomplete submissions aren't the result of clients or vendors being difficult. They're the result of ambiguity, not knowing precisely what's needed, or assuming a document they already sent covers a new period or requirement.
A clear checklist removes that ambiguity. Each item should specify:
- What the document is (not "ID documents" — "certified copy of South African ID or passport")
- Any validity requirements (not older than 3 months, current tax year, etc.)
- What format is acceptable (PDF preferred, clear scan, original letterhead)
- Whether it's required or optional for this specific submitter
When submitters have this level of clarity, first-submission accuracy improves significantly.
FICA / KYC document checklist
For legal firms, financial service providers, and any business with FICA compliance obligations, the list could include:
For individuals
- Certified copy of South African ID or valid passport (not older than 3 months)
- Proof of residential address (utility bill, bank statement, or municipal account — not older than 3 months)
- Source of funds declaration (completed form or signed letter)
- Tax number (SARS IT150 or equivalent)
For companies
- Certified copy of company registration document (COR14.3 or equivalent)
- Proof of registered address (not older than 3 months)
- List of directors with certified ID copies for each
- List of shareholders / beneficial owners with certified ID copies for 25%+ holders
- Proof of banking details (bank confirmation letter on letterhead)
- Tax clearance certificate or PIN (current)
Optional (depending on entity type)
- Trust deed (for trusts)
- Resolution authorising signatory
- B-BBEE certificate (if applicable to the relationship)
Vendor onboarding checklist
For procurement teams and businesses onboarding new suppliers:
Required
- Company registration certificate (COR14.3 or equivalent)
- Tax clearance certificate or SARS compliance PIN (current)
- B-BBEE certificate or affidavit (current)
- VAT registration certificate (if VAT registered)
- Bank confirmation letter on official bank letterhead
- Completed supplier onboarding form (if applicable)
- Directors' / members' ID copies
Optional (depending on procurement category)
- Professional body registration (CIDB, engineering council, etc.)
- Public liability insurance certificate
- Health and safety compliance documentation
- References from existing clients
Monthly bookkeeping / accounting checklist
For accountants and bookkeeping firms collecting monthly documents from clients:
Required
- Bank statement(s) — all business accounts for the month (PDF or CSV)
- Credit card statement(s) — all cards used for business expenses
- Sales invoices issued during the month
- Purchase invoices and supplier receipts received during the month
- Payroll summary — if payroll runs during this period
Optional (if applicable)
- Petty cash records
- Loan or finance statements (for active financing)
- Expense claims from directors or staff
- Foreign currency transaction records
Annual return / company secretarial checklist
For company secretarial firms and compliance teams managing annual submissions:
Required
- Audited or reviewed annual financial statements
- Signed director resolutions (AGM or annual)
- Updated register of directors (with ID copies for any new appointments)
- Updated shareholding register (if any changes occurred)
- Confirmation of registered address (if any changes occurred)
- Tax return submission confirmation (IT14 or equivalent)
Optional (if applicable)
- Amended memorandum of incorporation (if changes were made)
- Special resolutions passed during the year
- Updated beneficial ownership register (if required)
Legal / due diligence checklist
For legal firms conducting due diligence on transactions or counterparties:
Required
- Company registration documents and certificate of incorporation
- Memorandum of incorporation (MOI) — current version
- Director and shareholder register — current
- Last 3 years of audited financial statements
- Signed copies of all material contracts (above agreed threshold)
- Details of any pending or current litigation
- Tax compliance status (clearance certificate or PIN)
Optional (depending on transaction type)
- Asset register
- Property deeds or lease agreements
- IP registrations
- Employment agreements for key staff
HR / employee onboarding checklist
For HR teams collecting employment documents from new hires:
Required
- Certified copy of ID or passport
- Proof of address (not older than 3 months)
- Original or certified copies of qualification certificates
- Completed tax form (IT77 or IRP1 equivalent)
- Bank account confirmation letter
- Signed employment contract
- Signed confidentiality / NDA agreement (if applicable)
Optional
- Driver's licence (if role requires driving)
- Professional membership certificates
- Reference letters
How to structure requests so people follow them
Beyond the content of the checklist, how you present it affects compliance.
Use specific names, not categories. "Certified copy of ID (not older than 3 months)" is actionable. "ID document" is not.
Separate required from optional. Submitters who see a long list of required items and don't have some of them will stall. Clearly marking items as optional removes the paralysis.
One checklist per engagement type. Don't send one master list and ask submitters to ignore what doesn't apply. Build separate templates for each process type.
Send early. A request that arrives two days before the deadline doesn't leave people enough time. Ten to fourteen days is a reasonable minimum for most compliance and onboarding collections.
Follow up specifically. "We're still missing your tax clearance certificate and bank confirmation letter" is more effective than "we haven't received everything yet." Specificity makes it easier to act.
Making checklists part of an automated workflow
A checklist is most effective when it's embedded into the submission process — not just sent as a bullet list in an email.
When submitters receive a link to an upload portal with each item listed and a dedicated upload slot for each, they work through it systematically. They can see what they've already uploaded, what's still outstanding, and exactly what each item means.
This reduces errors and removes the most common source of incomplete submissions: people not realizing something was missing.
Actis Docs lets you build document checklists directly into your collection templates — required and optional items, one upload slot per document, clear labels. Works for any document collection process. Start a free trial — no credit card required.