Run Agency File Audit and E&O Exposure Review Checklist — Free

Audit Scope and File Identification

Client file identified with account name, policy number, and review date critical (required)

Review scope defined for all applicable policies and endorsements critical (required)

Yes No N/A

Source documents available for comparison critical (required)

Verify that declarations pages, applications, endorsements, correspondence, loss runs, and signed forms are present as applicable.

Review performed against current agency SOP or coverage checklist

Yes No N/A

Documentation Completeness

Application or renewal submission is complete and signed where required critical (required)

Yes No N/A

Client instructions and coverage requests are documented

Yes No N/A

Material changes in operations, payroll, revenue, vehicles, locations, or exposures are documented critical (required)

Yes No N/A

Evidence of quote comparisons or declination rationale is present

Yes No N/A

Certificates, binders, and policy delivery records are retained in the file

Yes No N/A

Coverage Accuracy and Placement Review

Named insured, additional insureds, and entity structure are correct critical (required)

Yes No N/A

Limits, deductibles, and coverage forms match the approved placement critical (required)

Yes No N/A

Key exclusions, endorsements, and coverage restrictions were reviewed with the client

Yes No N/A

Required coverages are present for the account's exposures critical (required)

Confirm that required lines such as GL, property, auto, workers' compensation, umbrella, cyber, or professional liability are addressed as applicable.

E&O Exposure Indicators

Coverage gaps or uninsured exposures identified critical (required)

Yes No N/A

Unanswered client questions, unresolved follow-ups, or pending items remain in the file

Yes No N/A

Evidence of timely notice, renewal outreach, or recommendation delivery is present

Yes No N/A

Any prior claims, complaints, or coverage disputes are documented with resolution status

Yes No N/A

Corrective Actions and Sign-Off

Deficiencies documented with owner and due date critical (required)

Client or producer follow-up required

Yes No N/A

Overall review result critical (required)

Note (optional)

Reviewer signature critical (required)

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Run: Agency File Audit and E&O Exposure Review Checklist

Audit Scope and File Identification

Documentation Completeness

Coverage Accuracy and Placement Review

E&O Exposure Indicators

Corrective Actions and Sign-Off

Get your results